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 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 |
|---|---|---|---|---|---|
| 4 | Osaic Fa, Inc. BD affiliated | Almanack Investment Partners independent RIA | Fairfax, Va +1 | Affiliated broker-dealer or bank to independent RIA | Jul 24, 2020 over 3 d |
| 2 | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Boston, Ma +1 | Affiliated broker-dealer or bank to another | May 12, 2020 over 2 d |
| 3 | Osaic Fa, Inc. BD affiliated | Stratos Wealth Partners, Ltd independent RIA | Salt Lake City, Ut | Affiliated broker-dealer or bank to independent RIA | Dec 4, 2019 over 1 d |
| 2 | Osaic Fa, Inc. BD affiliated | Integrated Wealth Concepts LLC independent RIA | Manalapan, Nj | Affiliated broker-dealer or bank to independent RIA | Sep 18, 2019 over 1 d |
| 2 | Osaic Fa, Inc. BD affiliated | Newedge Advisors independent RIA | Boston, Ma | Affiliated broker-dealer or bank to independent RIA | Jul 19, 2019 over 4 d |
| 3 | Osaic Fa, Inc. BD affiliated | Integrated Wealth Concepts LLC independent RIA | San Diego, Ca | Affiliated broker-dealer or bank to independent RIA | May 13, 2019 over 3 d |
| 3 | Osaic Fa, Inc. BD affiliated | Concourse Financial Group Advisors BD affiliated | Camp Hill, Pa +2 | Affiliated broker-dealer or bank to another | Oct 8, 2018 over 4 d |
| 4 | Osaic Fa, Inc. BD affiliated | Insight Wealth Strategies, LLC no RAUM | Houston, Tx | Affiliated broker-dealer or bank to a newly registered adviser | May 2, 2018 over 7 d |
| 8 | Osaic Fa, Inc. BD affiliated | Insight Wealth Strategies, LLC no RAUM | San Ramon, Ca +1 | Affiliated broker-dealer or bank to a newly registered adviser | May 1, 2018 over 8 d |
| 2 | Osaic Fa, Inc. other | Private Capital Group, LLC other | Hartford, Ct | Other | Nov 15, 2017 over 2 d |
| 3 | Osaic Fa, Inc. other | Strata Wealth Advisors, LLC no RAUM | Dallas, Tx +1 | Other | May 2, 2017 |
| 2 | Osaic Fa, Inc. other | Cambridge Investment Research Advisors, Inc. other | Monticello, In | Other | Jan 27, 2017 |
| 7 | Osaic Fa, Inc. other | Integrated Wealth Concepts LLC other | Waltham, Ma | Other | Jan 24, 2017 over 24 d |
| 3 | Osaic Fa, Inc. other | Commonwealth Retirement Investments LLC no RAUM | Richmond, Va +1 | Other | Jan 24, 2017 over 1 d |
| 3 | Osaic Fa, Inc. other | Integrated Wealth Concepts LLC other | Waltham, Ma | Other | Dec 7, 2016 over 12 d |
| 2 | Osaic Fa, Inc. other | Colonial River Wealth Management LLC no RAUM | Midlothian, Va +1 | Other | Nov 1, 2016 over 14 d |
| 3 | Osaic Fa, Inc. other | Commonwealth Financial Network national BD | Waltham, Ma | Other | Sep 29, 2016 over 4 d |
| 3 | Osaic Fa, Inc. other | Integrated Wealth Concepts LLC no RAUM | Waltham, Ma +1 | Other | Sep 20, 2016 over 8 d |
| 2 | Osaic Fa, Inc. other | October Effect Ltd. independent RIA | Virginia Beach, Va | Other | Nov 19, 2015 over 5 d |
| 3 | Osaic Fa, Inc. other | Bridgeworth Wealth Management other | Huntsville, Al | Other | May 11, 2015 |