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 Osaic Fs, Inc.

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	Osaic Fs, Inc. BD affiliated	Independent Advisers Group Corp other	Arlington Heights, Il	Other	Jan 24, 2025
2	Osaic Fs, Inc. BD affiliated	Hornor, Townsend & Kent, LLC BD affiliated	Overland Park, Ks	Affiliated broker-dealer or bank to another	Nov 14, 2024
12	Osaic Fs, Inc. BD affiliated	LPL Financial LLC BD affiliated	Wexford, Pa	Affiliated broker-dealer or bank to another	Aug 5, 2024 over 4 d
2	Osaic Fs, Inc. BD affiliated	Bcr Financial Services, LLC state registered	Wexford, Pa	Affiliated broker-dealer or bank to a state-registered adviser	Jul 23, 2024 over 14 d
8	Osaic Fs, Inc. BD affiliated	Global Retirement Partners LLC institutional	Columbia, Sc	Other	Jul 17, 2024 over 5 d
2	Osaic Fs, Inc. BD affiliated	Summit Asset Management, LLC unclassified	Branford, Ct	Other	Jun 12, 2024 over 1 d
4	Osaic Fs, Inc. BD affiliated	LPL Financial LLC BD affiliated	Branford, Ct +2	Affiliated broker-dealer or bank to another	Jun 4, 2024 over 17 d
2	Osaic Fs, Inc. BD affiliated	Integrity Alliance, LLC BD affiliated	Lexington, Ky	Affiliated broker-dealer or bank to another	May 20, 2024 over 1 d
2	Osaic Fs, Inc. BD affiliated	LPL Financial LLC BD affiliated	Ironton, Oh	Affiliated broker-dealer or bank to another	Apr 25, 2024
2	Osaic Fs, Inc. BD affiliated	Ifg Advisory, LLC independent RIA	Blairsville, Ga	Affiliated broker-dealer or bank to independent RIA	Apr 17, 2024 over 5 d
3	Osaic Fs, Inc. BD affiliated	LPL Financial LLC BD affiliated	Beaverton, Or +1	Affiliated broker-dealer or bank to another	Apr 1, 2024 over 1 d
2	Osaic Fs, Inc. BD affiliated	LPL Financial LLC BD affiliated	Clayton, Nc +1	Affiliated broker-dealer or bank to another	Mar 26, 2024 over 1 d
7	Osaic Fs, Inc. BD affiliated	Commonwealth Financial Network national BD	Hamburg, Ny +1	Affiliated broker-dealer or bank to another	Mar 18, 2024 over 10 d
2	Osaic Fs, Inc. BD affiliated	LPL Financial LLC BD affiliated	Monaca, Pa	Affiliated broker-dealer or bank to another	Feb 20, 2024
2	Osaic Fs, Inc. BD affiliated	LPL Financial LLC BD affiliated	Lubbock, Tx	Affiliated broker-dealer or bank to another	Feb 13, 2024 over 2 d
2	Osaic Fs, Inc. BD affiliated	LPL Financial LLC BD affiliated	Anchorage, Ak	Affiliated broker-dealer or bank to another	Jul 26, 2023
2	Osaic Fs, Inc. BD affiliated	LPL Financial LLC BD affiliated	Burlingame, Ca +1	Affiliated broker-dealer or bank to another	Jul 25, 2023
2	Osaic Fs, Inc. BD affiliated	Silver Oak Securities, Inc. BD affiliated	Simpsonville, Sc	Affiliated broker-dealer or bank to another	Mar 31, 2023
8	Osaic Fs, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Charlotte, Nc +3	Affiliated broker-dealer or bank to another	Mar 1, 2023 over 21 d
2	Osaic Fs, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Columbia, Sc	Affiliated broker-dealer or bank to another	Mar 1, 2023 over 7 d
2	Osaic Fs, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Galax, Va	Affiliated broker-dealer or bank to another	Mar 1, 2023 over 1 d
2	Osaic Fs, Inc. BD affiliated	Osaic Wealth, Inc. BD affiliated	Chattanooga, Tn	Affiliated broker-dealer or bank to another	Feb 27, 2023 over 1 d
4	Osaic Fs, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Charlotte, Nc	Affiliated broker-dealer or bank to another	Jan 4, 2023 over 2 d
2	Osaic Fs, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Charlotte, Nc +1	Affiliated broker-dealer or bank to another	Dec 15, 2022
3	Osaic Fs, Inc. BD affiliated	LPL Financial LLC independent RIA	Wilmington, De	Affiliated broker-dealer or bank to independent RIA	Nov 30, 2022 over 6 d
3	Osaic Fs, Inc. BD affiliated	Financial Planning Hq, LLC state registered	San Antonio, Tx +1	Affiliated broker-dealer or bank to a state-registered adviser	Sep 7, 2022 over 1 d
2	Osaic Fs, Inc. BD affiliated	Osaic Wealth, Inc. BD affiliated	Tempe, Az	Affiliated broker-dealer or bank to another	Sep 24, 2021
3	Osaic Fs, Inc. BD affiliated	Spc BD affiliated	Okemos, Mi	Affiliated broker-dealer or bank to another	Aug 16, 2021 over 1 d
3	Osaic Fs, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	New Britain, Ct	Affiliated broker-dealer or bank to another	Jun 17, 2021 over 4 d
2	Osaic Fs, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Lynchburg, Va	Affiliated broker-dealer or bank to another	May 10, 2021 over 2 d
3	Osaic Fs, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Noblesville, In	Affiliated broker-dealer or bank to another	Aug 21, 2020
2	Osaic Fs, Inc. BD affiliated	LPL Financial LLC BD affiliated	Pittsburgh, Pa	Affiliated broker-dealer or bank to another	Aug 21, 2020
4	Osaic Fs, Inc. BD affiliated	LPL Financial LLC BD affiliated	Winstonsalem, Nc +1	Affiliated broker-dealer or bank to another	Oct 21, 2019 over 2 d
2	Osaic Fs, Inc. BD affiliated	LPL Financial LLC independent RIA	Raleigh, Nc	Affiliated broker-dealer or bank to independent RIA	May 1, 2019
3	Osaic Fs, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Roxboro, Nc	Affiliated broker-dealer or bank to another	Oct 19, 2018 over 6 d
2	Osaic Fs, Inc. BD affiliated	Financial Resources Group, LLC state registered	Glastonbury, Ct	Affiliated broker-dealer or bank to a state-registered adviser	Aug 29, 2018 over 1 d
3	Osaic Fs, Inc. BD affiliated	LPL Financial LLC independent RIA	Richmond, Va	Affiliated broker-dealer or bank to independent RIA	Aug 2, 2018
4	Osaic Fs, Inc. BD affiliated	LPL Financial LLC independent RIA	South Burlington, Vt	Affiliated broker-dealer or bank to independent RIA	Jun 4, 2018 over 1 d
3	Osaic Fs, Inc. other	LPL Financial LLC independent RIA	Fuquay Varina, Nc +1	Other	Feb 13, 2018 over 3 d
2	Osaic Fs, Inc. other	Concourse Financial Group Advisors other	Knoxville, Tn	Other	Dec 20, 2017
5	Osaic Fs, Inc. other	Wmg Financial Advisors, LLC independent RIA	Knoxville, Tn +2	Other	Dec 17, 2017 over 3 d
2	Osaic Fs, Inc. other	Independent Advisers Group Corp other	Morristown, Tn +1	Other	Dec 17, 2017 over 4 d
4	Osaic Fs, Inc. other	Cambridge Investment Research Advisors, Inc. other	Bradford, Ma +2	Other	Dec 6, 2017 over 25 d
4	Osaic Fs, Inc. other	Cambridge Investment Research Advisors, Inc. other	Concord, Nh +2	Other	Dec 4, 2017 over 14 d
2	Osaic Fs, Inc. other	American Portfolios Advisors, Inc other	Pittsburgh, Pa	Other	Oct 31, 2017 over 2 d
3	Osaic Fs, Inc. other	Independent Advisers Group Corp other	Brentwood, Tn	Other	Sep 13, 2017
2	Osaic Fs, Inc. other	Concourse Financial Group Advisors other	Davidson, Nc	Other	Sep 13, 2017
2	Osaic Fs, Inc. other	Griffith & Werner, Inc. other	Canton, Ga	Other	May 23, 2017
2	Osaic Fs, Inc. other	Boston Harbor Wealth Advisors, LLC other	Mansfield, Ma +1	Other	Mar 8, 2017
2	Osaic Fs, Inc. other	Signator Investors, Inc. other	Concord, Nh	Other	Apr 8, 2016 over 11 d
3	Osaic Fs, Inc. other	Wells Fargo Advisors wirehouse	East Hartford, Ct	Other	Sep 24, 2015

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51 teams match.derived from registration dates