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.
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 |
|---|---|---|---|---|---|
| 3 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | El Segundo, Ca | Affiliated broker-dealer or bank to wirehouse | Apr 6, 2016 over 9 d |
| 2 | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Paramus, Nj +1 | Affiliated broker-dealer or bank to another | Apr 6, 2016 |
| 2 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Boston, Ma | Affiliated broker-dealer or bank to wirehouse | Mar 30, 2016 over 6 d |
| 3 | RBC Capital Markets, LLC national BD | Stifel, Nicolaus & Company, Incorporated national BD | Hollidaysburg, Pa | Affiliated broker-dealer or bank to another | Mar 11, 2016 |
| 3 | RBC Capital Markets, LLC national BD | Moloney Securities Co., Inc. other | Bellingham, Wa | Other | Feb 19, 2016 |
| 3 | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Austin, Tx +1 | Affiliated broker-dealer or bank to another | Dec 16, 2015 |
| 2 | RBC Capital Markets, LLC national BD | Stifel, Nicolaus & Company, Incorporated national BD | Mobile, Al | Affiliated broker-dealer or bank to another | Nov 12, 2015 |
| 2 | RBC Capital Markets, LLC national BD | Janney Montgomery Scott LLC other | Conshohocken, Pa +1 | Other | Sep 11, 2015 |
| 2 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Newport Beach, Ca +1 | Affiliated broker-dealer or bank to wirehouse | Aug 18, 2015 |
| 2 | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Lincoln, Ne | Affiliated broker-dealer or bank to another | Jul 16, 2015 |
| 2 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Miami, Fl | Affiliated broker-dealer or bank to wirehouse | May 28, 2015 over 1 d |
| 2 | RBC Capital Markets, LLC national BD | UBS Financial Services Inc. wirehouse | Miami, Fl | Affiliated broker-dealer or bank to wirehouse | Apr 30, 2015 over 14 d |
| 2 | RBC Capital Markets, LLC national BD | Oppenheimer & Co. Inc. other | Miami, Fl | Other | Apr 21, 2015 over 7 d |
| 3 | RBC Capital Markets, LLC national BD | Insigneo Wealth Advisors, LLC other | Miami, Fl | Other | Apr 6, 2015 over 15 d |
| 2 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Miami, Fl | Affiliated broker-dealer or bank to wirehouse | Mar 23, 2015 |
| 2 | RBC Capital Markets, LLC national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | New York, Ny | Affiliated broker-dealer or bank to wirehouse | Mar 23, 2015 |
| 3 | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Century City, Ca | Affiliated broker-dealer or bank to another | Feb 4, 2015 over 2 d |
| 12 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Miami, Fl | Affiliated broker-dealer or bank to wirehouse | Jan 29, 2015 over 29 d |
| 2 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | New York, Ny | Affiliated broker-dealer or bank to wirehouse | Jan 27, 2015 over 3 d |