DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Advisor teams

Teams that left RBC Capital Markets, LLC

A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why. When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out. Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.

Advisors	From	To	Branch	Type	Left
2	RBC Capital Markets, LLC national BD	Ameriprise Financial Services, LLC national BD	Philadelphia, Pa	Affiliated broker-dealer or bank to another	Dec 22, 2022
3	RBC Capital Markets, LLC national BD	Stifel Independent Advisors, LLC BD affiliated	Hunt Valley, Md	Affiliated broker-dealer or bank to another	Oct 25, 2022
3	RBC Capital Markets, LLC national BD	Global Retirement Partners LLC institutional	Pasadena, Ca	Other	Jul 27, 2022
5	RBC Capital Markets, LLC national BD	Rockefeller Capital Management BD affiliated	New York, Ny	Affiliated broker-dealer or bank to another	Jul 20, 2022 over 7 d
8	RBC Capital Markets, LLC national BD	LPL Financial LLC independent RIA	Charleston, Wv	Affiliated broker-dealer or bank to independent RIA	Jun 28, 2022 over 1 d
3	RBC Capital Markets, LLC national BD	Ameriprise Financial Services, LLC national BD	Palm Beach Gardens, Fl +1	Affiliated broker-dealer or bank to another	Jun 7, 2022
2	RBC Capital Markets, LLC national BD	Morgan Stanley wirehouse	Eugene, Or	Affiliated broker-dealer or bank to wirehouse	Mar 2, 2022
4	RBC Capital Markets, LLC national BD	Northrock Partners, LLC independent RIA	Appleton, Wi	Affiliated broker-dealer or bank to independent RIA	Feb 18, 2022 over 5 d
2	RBC Capital Markets, LLC national BD	Raymond James Financial Services Advisors, Inc BD affiliated	Lincoln, Ne	Affiliated broker-dealer or bank to another	Feb 3, 2022
3	RBC Capital Markets, LLC national BD	LPL Financial LLC BD affiliated	Southampton, Ny +1	Affiliated broker-dealer or bank to another	Dec 20, 2021
2	RBC Capital Markets, LLC national BD	Morgan Stanley wirehouse	Century City, Ca	Affiliated broker-dealer or bank to wirehouse	Nov 24, 2021 over 7 d
4	RBC Capital Markets, LLC national BD	J.P. Morgan Securities LLC wirehouse	Century City, Ca	Affiliated broker-dealer or bank to wirehouse	Nov 16, 2021 over 2 d
2	RBC Capital Markets, LLC national BD	Raymond James & Associates, Inc. national BD	Appleton, Wi	Affiliated broker-dealer or bank to another	Nov 10, 2021 over 2 d
2	RBC Capital Markets, LLC national BD	Raymond James Financial Services Advisors, Inc BD affiliated	Rochester, Ny	Affiliated broker-dealer or bank to another	Oct 30, 2021
2	RBC Capital Markets, LLC national BD	Kestra Private Wealth Services, LLC BD affiliated	Missoula, Mt	Affiliated broker-dealer or bank to another	Sep 24, 2021
2	RBC Capital Markets, LLC national BD	UBS Financial Services Inc. wirehouse	Red Bank, Nj +1	Affiliated broker-dealer or bank to wirehouse	Sep 16, 2021
2	RBC Capital Markets, LLC national BD	LPL Financial LLC BD affiliated	Spokane, Wa	Affiliated broker-dealer or bank to another	Sep 3, 2021
2	RBC Capital Markets, LLC national BD	Morgan Stanley wirehouse	New York, Ny	Affiliated broker-dealer or bank to wirehouse	Jun 2, 2021
2	RBC Capital Markets, LLC national BD	Wells Fargo Advisors wirehouse	La Jolla, Ca	Affiliated broker-dealer or bank to wirehouse	Mar 17, 2021
3	RBC Capital Markets, LLC national BD	Steward Partners Investment Advisory, LLC independent RIA	Fort Collins, Co	Affiliated broker-dealer or bank to independent RIA	Mar 9, 2021
4	RBC Capital Markets, LLC national BD	Ptma Investment Advisors asset manager	Lancaster, Pa	Other	Jan 29, 2021
3	RBC Capital Markets, LLC national BD	LPL Financial LLC BD affiliated	Tucson, Az	Affiliated broker-dealer or bank to another	Nov 24, 2020
2	RBC Capital Markets, LLC national BD	Morgan Stanley wirehouse	Omaha, Ne	Affiliated broker-dealer or bank to wirehouse	Nov 18, 2020
2	RBC Capital Markets, LLC national BD	Pack Private Wealth, LLC no RAUM	Minnetonka, Mn	Affiliated broker-dealer or bank to a newly registered adviser	Oct 20, 2020 over 7 d
2	RBC Capital Markets, LLC national BD	Ameriprise Financial Services, LLC national BD	Fort Worth, Tx	Affiliated broker-dealer or bank to another	Oct 14, 2020
4	RBC Capital Markets, LLC national BD	Raymond James & Associates, Inc. national BD	Clive, Ia	Affiliated broker-dealer or bank to another	Sep 29, 2020
3	RBC Capital Markets, LLC national BD	Benjamin F. Edwards & Company, Incorporated BD affiliated	Lincoln, Ne	Affiliated broker-dealer or bank to another	Sep 29, 2020
5	RBC Capital Markets, LLC national BD	Morgan Stanley wirehouse	New York, Ny	Affiliated broker-dealer or bank to wirehouse	Sep 14, 2020 over 15 d
3	RBC Capital Markets, LLC national BD	Wells Fargo Advisors wirehouse	Paramus, Nj +1	Affiliated broker-dealer or bank to wirehouse	Aug 25, 2020 over 14 d
2	RBC Capital Markets, LLC national BD	Wells Fargo Advisors wirehouse	Norwell, Ma	Affiliated broker-dealer or bank to wirehouse	Jun 9, 2020 over 8 d
3	RBC Capital Markets, LLC national BD	Wells Fargo Advisors wirehouse	Corvallis, Or	Affiliated broker-dealer or bank to wirehouse	Jan 23, 2020 over 9 d
4	RBC Capital Markets, LLC national BD	Raymond James & Associates, Inc. national BD	Clive, Ia	Affiliated broker-dealer or bank to another	Sep 20, 2019
3	RBC Capital Markets, LLC national BD	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Boulder, Co	Affiliated broker-dealer or bank to wirehouse	Aug 20, 2019
3	RBC Capital Markets, LLC national BD	Robert W. Baird & Co. Incorporated mixed wealth	Minnetonka, Mn +1	Affiliated broker-dealer or bank to independent RIA	Aug 7, 2019 over 8 d
4	RBC Capital Markets, LLC national BD	Stifel, Nicolaus & Company, Incorporated national BD	Tacoma, Wa	Affiliated broker-dealer or bank to another	Jul 8, 2019
3	RBC Capital Markets, LLC national BD	Robertson Stephens independent RIA	Ketchum, Id +2	Affiliated broker-dealer or bank to independent RIA	Jun 12, 2019
3	RBC Capital Markets, LLC national BD	Ameriprise Financial Services, LLC national BD	Seattle, Wa	Affiliated broker-dealer or bank to another	May 1, 2019
2	RBC Capital Markets, LLC national BD	Ameriprise Financial Services, LLC national BD	San Antonio, Tx +1	Affiliated broker-dealer or bank to another	Apr 9, 2019 over 14 d
2	RBC Capital Markets, LLC national BD	D.A. Davidson & Co. independent RIA	Fargo, Nd	Affiliated broker-dealer or bank to independent RIA	Jan 29, 2019
3	RBC Capital Markets, LLC national BD	Walled Lake Planning & Wealth Management, LLC no RAUM	Chicago, Il +1	Affiliated broker-dealer or bank to a newly registered adviser	Dec 19, 2018
2	RBC Capital Markets, LLC national BD	Janney Montgomery Scott LLC BD affiliated	Glastonbury, Ct	Affiliated broker-dealer or bank to another	Nov 19, 2018 over 1 d
3	RBC Capital Markets, LLC national BD	Steward Partners Investment Advisory, LLC independent RIA	Houston, Tx	Affiliated broker-dealer or bank to independent RIA	Apr 3, 2018
2	RBC Capital Markets, LLC national BD	Wells Fargo Advisors wirehouse	Portland, Or +1	Affiliated broker-dealer or bank to wirehouse	Feb 27, 2018
2	RBC Capital Markets, LLC national BD	Royal Capital Wealth Management LLC independent RIA	Indianapolis, In	Affiliated broker-dealer or bank to independent RIA	Dec 26, 2017 over 8 d
2	RBC Capital Markets, LLC national BD	Raymond James & Associates, Inc. national BD	Beverly Hills, Ca +1	Affiliated broker-dealer or bank to another	Dec 26, 2017
2	RBC Capital Markets, LLC national BD	Ameriprise Financial Services, LLC national BD	Minneapolis, Mn	Affiliated broker-dealer or bank to another	Nov 2, 2017 over 13 d
3	RBC Capital Markets, LLC national BD	Morgan Stanley wirehouse	Westport, Ct +1	Affiliated broker-dealer or bank to wirehouse	Sep 12, 2017
3	RBC Capital Markets, LLC national BD	UBS Financial Services Inc. wirehouse	Minneapolis, Mn	Affiliated broker-dealer or bank to wirehouse	Aug 1, 2017
2	RBC Capital Markets, LLC national BD	Ameriprise Financial Services, LLC national BD	Minneapolis, Mn +1	Affiliated broker-dealer or bank to another	Jul 26, 2017 over 6 d
2	RBC Capital Markets, LLC national BD	Stableford Capital LLC other	San Francisco, Ca +1	Other	Jun 1, 2017 over 12 d
2	RBC Capital Markets, LLC national BD	Janney Montgomery Scott LLC other	Conshohocken, Pa	Other	May 9, 2017
2	RBC Capital Markets, LLC national BD	Robert W. Baird & Co. Incorporated other	Salem, Or +1	Other	Apr 25, 2017
2	RBC Capital Markets, LLC national BD	Greenspring Advisors, LLC other	Hunt Valley, Md	Other	Mar 29, 2017
2	RBC Capital Markets, LLC national BD	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Bend, Or	Affiliated broker-dealer or bank to wirehouse	Oct 19, 2016
2	RBC Capital Markets, LLC national BD	Stifel, Nicolaus & Company, Incorporated national BD	Boston, Ma	Affiliated broker-dealer or bank to another	Aug 15, 2016
2	RBC Capital Markets, LLC national BD	Raymond James & Associates, Inc. national BD	Lincoln, Ne	Affiliated broker-dealer or bank to another	Jul 14, 2016
2	RBC Capital Markets, LLC national BD	Stifel, Nicolaus & Company, Incorporated national BD	Newport Beach, Ca	Affiliated broker-dealer or bank to another	Jun 22, 2016
3	RBC Capital Markets, LLC national BD	Steward Partners Investment Advisory, LLC no RAUM	Chevy Chase, Md	Affiliated broker-dealer or bank to a newly registered adviser	Jun 7, 2016
2	RBC Capital Markets, LLC national BD	Moloney Investment Advisory LLC no RAUM	Greenwood Village, Co	Affiliated broker-dealer or bank to a newly registered adviser	Jun 2, 2016
2	RBC Capital Markets, LLC national BD	Bb&T Securities, LLC other	Dallas, Tx	Other	May 20, 2016

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139 teams match.derived from registration dates