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 Fa, 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
3	Osaic Fa, Inc. BD affiliated	LPL Financial LLC BD affiliated	Hartford, Ct +1	Affiliated broker-dealer or bank to another	Jan 23, 2025 over 1 d
2	Osaic Fa, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Miami, Fl +1	Affiliated broker-dealer or bank to another	Jan 14, 2025 over 8 d
2	Osaic Fa, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Fort Wayne, In	Affiliated broker-dealer or bank to another	Jan 8, 2025 over 1 d
4	Osaic Fa, Inc. BD affiliated	Mariner BD affiliated	Sarasota, Fl	Affiliated broker-dealer or bank to another	Dec 3, 2024 over 2 d
2	Osaic Fa, Inc. BD affiliated	LPL Financial LLC BD affiliated	Mobile, Al	Affiliated broker-dealer or bank to another	Nov 8, 2024
4	Osaic Fa, Inc. BD affiliated	LPL Financial LLC BD affiliated	Westlake Village, Ca +2	Affiliated broker-dealer or bank to another	Nov 7, 2024 over 11 d
4	Osaic Fa, Inc. BD affiliated	LPL Financial LLC BD affiliated	Cincinnati, Oh	Affiliated broker-dealer or bank to another	Oct 21, 2024 over 4 d
6	Osaic Fa, Inc. BD affiliated	LPL Financial LLC BD affiliated	Annapolis, Md +2	Affiliated broker-dealer or bank to another	Oct 14, 2024 over 2 d
2	Osaic Fa, Inc. BD affiliated	MML Investors Services, LLC BD affiliated	Irvine, Ca	Affiliated broker-dealer or bank to another	Oct 14, 2024 over 1 d
2	Osaic Fa, Inc. BD affiliated	LPL Financial LLC BD affiliated	Houston, Tx	Affiliated broker-dealer or bank to another	Oct 3, 2024 over 6 d
3	Osaic Fa, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Wappingers Falls, Ny +2	Affiliated broker-dealer or bank to another	Sep 16, 2024 over 15 d
2	Osaic Fa, Inc. BD affiliated	LPL Financial LLC BD affiliated	Cherry Hill, Nj	Affiliated broker-dealer or bank to another	Sep 10, 2024 over 2 d
2	Osaic Fa, Inc. BD affiliated	LPL Financial LLC BD affiliated	San Antonio, Tx	Affiliated broker-dealer or bank to another	Sep 9, 2024 over 1 d
2	Osaic Fa, Inc. BD affiliated	Commonwealth Financial Network national BD	La Jolla, Ca	Affiliated broker-dealer or bank to another	Sep 9, 2024 over 1 d
3	Osaic Fa, Inc. BD affiliated	LPL Financial LLC BD affiliated	Overland Park, Ks	Affiliated broker-dealer or bank to another	Sep 4, 2024 over 2 d
4	Osaic Fa, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Orange Village, Oh +2	Affiliated broker-dealer or bank to another	Aug 20, 2024 over 16 d
2	Osaic Fa, Inc. BD affiliated	Equitable Advisors, LLC national BD	Wilmington, Nc	Affiliated broker-dealer or bank to another	Aug 20, 2024
2	Osaic Fa, Inc. BD affiliated	Commonwealth Financial Network national BD	Cherry Hill, Nj	Affiliated broker-dealer or bank to another	Aug 19, 2024 over 1 d
2	Osaic Fa, Inc. BD affiliated	Kestra Advisory Services, LLC BD affiliated	Charlotte, Nc	Affiliated broker-dealer or bank to another	Aug 16, 2024
2	Osaic Fa, Inc. BD affiliated	Commonwealth Financial Network national BD	Clarence, Ny +1	Affiliated broker-dealer or bank to another	Aug 12, 2024 over 1 d
4	Osaic Fa, Inc. BD affiliated	LPL Financial LLC BD affiliated	Blue Bell, Pa +1	Affiliated broker-dealer or bank to another	Jul 2, 2024 over 9 d
3	Osaic Fa, Inc. BD affiliated	Commonwealth Financial Network national BD	Rochester, Ny +1	Affiliated broker-dealer or bank to another	Jun 4, 2024 over 8 d
2	Osaic Fa, Inc. BD affiliated	Cetera Investment Advisers LLC BD affiliated	Mansfield, Oh	Affiliated broker-dealer or bank to another	May 29, 2024
6	Osaic Fa, Inc. BD affiliated	Tlg Advisors, Inc. BD affiliated	Fort Wayne, In	Affiliated broker-dealer or bank to another	May 8, 2024
2	Osaic Fa, Inc. BD affiliated	Avantax Advisory Services BD affiliated	East Amherst, Ny	Affiliated broker-dealer or bank to another	May 6, 2024
2	Osaic Fa, Inc. BD affiliated	LPL Financial LLC BD affiliated	Poughkeepsie, Ny	Affiliated broker-dealer or bank to another	May 3, 2024
2	Osaic Fa, Inc. BD affiliated	Commonwealth Financial Network national BD	Solon, Oh	Affiliated broker-dealer or bank to another	May 3, 2024
2	Osaic Fa, Inc. BD affiliated	Transamerica Retirement Advisors, LLC BD affiliated	Fort Wayne, In	Affiliated broker-dealer or bank to another	May 2, 2024 over 6 d
4	Osaic Fa, Inc. BD affiliated	LPL Financial LLC BD affiliated	Plano, Tx +2	Affiliated broker-dealer or bank to another	Apr 24, 2024 over 6 d
12	Osaic Fa, Inc. BD affiliated	LPL Financial LLC BD affiliated	Red Bank, Nj +4	Affiliated broker-dealer or bank to another	Apr 19, 2024 over 24 d
4	Osaic Fa, Inc. BD affiliated	LPL Financial LLC BD affiliated	Voorhees, Nj	Affiliated broker-dealer or bank to another	Mar 25, 2024 over 2 d
3	Osaic Fa, Inc. BD affiliated	Cetera Investment Advisers LLC BD affiliated	Port Jefferson, Ny +1	Affiliated broker-dealer or bank to another	Feb 2, 2024 over 5 d
2	Osaic Fa, Inc. BD affiliated	The Ameriflex Group BD affiliated	Casper, Wy	Affiliated broker-dealer or bank to another	Oct 30, 2023
2	Osaic Fa, Inc. BD affiliated	Commonwealth Financial Network national BD	San Diego, Ca	Affiliated broker-dealer or bank to another	Oct 6, 2023
2	Osaic Fa, Inc. BD affiliated	Commonwealth Financial Network national BD	Cincinnati, Oh	Affiliated broker-dealer or bank to another	Sep 5, 2023 over 6 d
6	Osaic Fa, Inc. BD affiliated	LPL Financial LLC BD affiliated	Peoria, Az +2	Affiliated broker-dealer or bank to another	Aug 21, 2023 over 3 d
3	Osaic Fa, Inc. BD affiliated	Commonwealth Financial Network national BD	Syracuse, Ny	Affiliated broker-dealer or bank to another	Aug 1, 2023 over 1 d
2	Osaic Fa, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Franklin, Ma	Affiliated broker-dealer or bank to another	Jul 31, 2023
2	Osaic Fa, Inc. BD affiliated	Mariner Advisor Network BD affiliated	Denver, Co	Affiliated broker-dealer or bank to another	Jul 31, 2023 over 1 d
2	Osaic Fa, Inc. BD affiliated	Sagepoint Financial, Inc. BD affiliated	Williamsville, Ny	Affiliated broker-dealer or bank to another	May 16, 2023
2	Osaic Fa, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Cincinnati, Oh	Affiliated broker-dealer or bank to another	Apr 24, 2023 over 1 d
2	Osaic Fa, Inc. BD affiliated	Commonwealth Financial Network national BD	Reston, Va	Affiliated broker-dealer or bank to another	Mar 24, 2023
9	Osaic Fa, Inc. BD affiliated	Commonwealth Financial Network national BD	Jacksonville, Fl +2	Affiliated broker-dealer or bank to another	Mar 1, 2023 over 12 d
2	Osaic Fa, Inc. BD affiliated	LPL Financial LLC independent RIA	Montgomery, Al +1	Affiliated broker-dealer or bank to independent RIA	Feb 13, 2023 over 8 d
4	Osaic Fa, Inc. BD affiliated	Commonwealth Financial Network national BD	White Bear Lake, Mn +1	Affiliated broker-dealer or bank to another	Nov 3, 2022 over 6 d
3	Osaic Fa, Inc. BD affiliated	J. W. Cole Advisors, Inc. independent RIA	Orange, Ca	Affiliated broker-dealer or bank to independent RIA	Aug 1, 2022 over 1 d
2	Osaic Fa, Inc. BD affiliated	Sagepoint Financial, Inc. BD affiliated	Scottsdale, Az	Affiliated broker-dealer or bank to another	May 9, 2022
4	Osaic Fa, Inc. BD affiliated	LPL Financial LLC independent RIA	Jacksonville, Fl +2	Affiliated broker-dealer or bank to independent RIA	Mar 15, 2022 over 3 d
2	Osaic Fa, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Boston, Ma +1	Affiliated broker-dealer or bank to another	Mar 8, 2022 over 1 d
4	Osaic Fa, Inc. BD affiliated	Beacon Financial Group, Inc. no RAUM	Solon, Oh +1	Affiliated broker-dealer or bank to a newly registered adviser	Feb 22, 2022 over 2 d
3	Osaic Fa, Inc. BD affiliated	LPL Financial LLC BD affiliated	Haddonfield, Nj	Affiliated broker-dealer or bank to another	Dec 17, 2021 over 6 d
3	Osaic Fa, Inc. BD affiliated	LPL Financial LLC BD affiliated	Petaluma, Ca +1	Affiliated broker-dealer or bank to another	Nov 9, 2021 over 1 d
9	Osaic Fa, Inc. BD affiliated	LPL Financial LLC BD affiliated	Columbus, Oh	Affiliated broker-dealer or bank to another	Aug 31, 2021 over 1 d
5	Osaic Fa, Inc. BD affiliated	World Investment Advisors, LLC institutional	San Ramon, Ca	Other	Aug 24, 2021 over 1 d
3	Osaic Fa, Inc. BD affiliated	Advisornet Wealth Partners independent RIA	Exton, Pa	Affiliated broker-dealer or bank to independent RIA	Jul 27, 2021
3	Osaic Fa, Inc. BD affiliated	Arkadios Wealth Advisors BD affiliated	Berwyn, Pa	Affiliated broker-dealer or bank to another	May 6, 2021 over 5 d
2	Osaic Fa, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Omaha, Ne	Affiliated broker-dealer or bank to another	May 5, 2021 over 2 d
3	Osaic Fa, Inc. BD affiliated	Blueprint Partners LLC no RAUM	Traverse City, Mi +1	Affiliated broker-dealer or bank to a newly registered adviser	May 4, 2021
2	Osaic Fa, Inc. BD affiliated	Burkholder & Associates, LLC no RAUM	Rockville, Md	Affiliated broker-dealer or bank to a newly registered adviser	Apr 21, 2021 over 1 d
3	Osaic Fa, Inc. BD affiliated	Hightower Advisors, LLC BD affiliated	Rye Brook, Ny +1	Affiliated broker-dealer or bank to another	Dec 31, 2020

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80 teams match.derived from registration dates