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 Santander Securities
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 | Santander Securities BD affiliated | Citizens Securities, Inc. BD affiliated | Lexington, Ma +1 | Affiliated broker-dealer or bank to another | Jun 29, 2026 |
| 2 | Santander Securities BD affiliated | Wells Fargo Advisors wirehouse | Cherry Hill, Nj | Affiliated broker-dealer or bank to wirehouse | Oct 13, 2023 |
| 2 | Santander Securities BD affiliated | Osaic Wealth, Inc. BD affiliated | Hempstead, Ny +1 | Affiliated broker-dealer or bank to another | Sep 5, 2023 |
| 2 | Santander Securities BD affiliated | Citigroup Global Markets Inc. BD affiliated | Elizabeth, Nj +1 | Affiliated broker-dealer or bank to another | Aug 3, 2022 over 6 d |
| 2 | Santander Securities BD affiliated | Citizens Securities, Inc. BD affiliated | Pottsville, Pa +1 | Affiliated broker-dealer or bank to another | Apr 8, 2022 over 3 d |
| 2 | Santander Securities BD affiliated | Truist Advisory Services, Inc. BD affiliated | Dresher, Pa +1 | Affiliated broker-dealer or bank to another | Jan 4, 2021 |
| 2 | Santander Securities BD affiliated | Citizens Securities, Inc. BD affiliated | Boston, Ma | Affiliated broker-dealer or bank to another | Aug 28, 2020 |
| 2 | Santander Securities BD affiliated | Citizens Securities, Inc. BD affiliated | Villanova, Pa | Affiliated broker-dealer or bank to another | Aug 28, 2020 |
| 2 | Santander Securities BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Long Island City, Ny +1 | Affiliated broker-dealer or bank to another | Aug 28, 2020 |
| 2 | Santander Securities BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Somerville, Nj +1 | Affiliated broker-dealer or bank to wirehouse | Aug 28, 2020 |
| 2 | Santander Securities BD affiliated | Osaic Institutions, Inc. BD affiliated | Beech Creek, Pa +1 | Affiliated broker-dealer or bank to another | Sep 6, 2019 |
| 2 | Santander Securities other | Herbert J. Sims Capital Management, Inc. independent RIA | Santurce, Pr +1 | Other | Feb 12, 2018 |
| 2 | Santander Securities other | Cetera Investment Advisers LLC other | Jersey City, Nj +1 | Other | Jan 23, 2018 over 13 d |
| 2 | Santander Securities other | Key Investment Services LLC other | Reading, Pa +1 | Other | Aug 22, 2017 |
| 2 | Santander Securities other | LPL Financial LLC other | Philadelphia, Pa +1 | Other | Jun 1, 2017 |
| 3 | Santander Securities other | Pinnacle Private Wealth, LLC other | Worcester, Ma +1 | Other | Dec 21, 2016 |
| 2 | Santander Securities other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Guaynabo, Pr +1 | Other | Dec 8, 2016 |
| 2 | Santander Securities other | Citizens Securities, Inc. other | Framingham, Ma +1 | Other | Jun 3, 2016 over 6 d |