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 Signator Investors, 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 |
|---|---|---|---|---|---|
| 6 | Signator Investors, Inc. BD affiliated | John Hancock Personal Financial Services, LLC independent RIA | South Boston, Ma +1 | Affiliated broker-dealer or bank to independent RIA | Nov 2, 2018 |
| 2 | Signator Investors, Inc. BD affiliated | Signature Resources Capital Management, LLC independent RIA | Irvine, Ca | Affiliated broker-dealer or bank to independent RIA | Nov 2, 2018 |
| 2 | Signator Investors, Inc. BD affiliated | Hermitage Wealth no RAUM | Henrico, Va | Affiliated broker-dealer or bank to a newly registered adviser | Nov 2, 2018 |
| 2 | Signator Investors, Inc. BD affiliated | Creativeone Securities, LLC BD affiliated | Mount Pleasant, Sc | Affiliated broker-dealer or bank to another | Oct 31, 2018 |
| 2 | Signator Investors, Inc. BD affiliated | LPL Financial LLC independent RIA | Lafayette, Ca | Affiliated broker-dealer or bank to independent RIA | Oct 26, 2018 over 3 d |
| 2 | Signator Investors, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Roseland, Nj +1 | Affiliated broker-dealer or bank to another | Oct 19, 2018 over 3 d |
| 2 | Signator Investors, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Rochester, Mn | Affiliated broker-dealer or bank to another | Oct 1, 2018 |
| 2 | Signator Investors, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Indianapolis, In +1 | Affiliated broker-dealer or bank to another | Aug 20, 2018 |
| 2 | Signator Investors, Inc. BD affiliated | LPL Financial LLC independent RIA | Costa Mesa, Ca | Affiliated broker-dealer or bank to independent RIA | Jul 2, 2018 |
| 2 | Signator Investors, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Scottsdale, Az | Affiliated broker-dealer or bank to another | Apr 23, 2018 |
| 2 | Signator Investors, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Honolulu, Hi | Affiliated broker-dealer or bank to another | Apr 23, 2018 |
| 5 | Signator Investors, Inc. other | Finivi Inc. no RAUM | Westborough, Ma | Other | Mar 14, 2018 |
| 4 | Signator Investors, Inc. other | Independent Financial Group, LLC other | Sikeston, Mo +1 | Other | Feb 20, 2018 |
| 6 | Signator Investors, Inc. other | Osaic Wealth, Inc. BD affiliated | Westbury, Ny +4 | Other | Dec 31, 2017 |
| 8 | Signator Investors, Inc. other | Continuum Advisory, LLC other | Pleasanton, Ca +4 | Other | Nov 17, 2017 |
| 2 | Signator Investors, Inc. other | J. W. Cole Advisors, Inc. other | St Petersburg, Fl | Other | Nov 8, 2017 over 14 d |
| 3 | Signator Investors, Inc. other | Securities America Advisors, Inc. other | Scarborough, Me | Other | Aug 1, 2017 over 2 d |
| 2 | Signator Investors, Inc. other | Osaic Wealth, Inc. other | Honolulu, Hi | Other | Apr 5, 2017 over 7 d |
| 9 | Signator Investors, Inc. other | Osaic Wealth, Inc. other | Honolulu, Hi | Other | Mar 10, 2017 over 7 d |
| 4 | Signator Investors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Auburn, Al | Other | Feb 25, 2017 |
| 2 | Signator Investors, Inc. other | Kestra Advisory Services, LLC other | Lafayette, Ca | Other | Dec 9, 2016 over 4 d |
| 3 | Signator Investors, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Dallas, Tx +1 | Other | Nov 8, 2016 over 2 d |
| 2 | Signator Investors, Inc. other | Commonwealth Financial Network national BD | Cuyahoga Falls, Oh | Other | Oct 7, 2016 |
| 3 | Signator Investors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Rochester, Mn | Other | Aug 31, 2016 |
| 5 | Signator Investors, Inc. other | John Hancock Personal Financial Services, LLC other | Westwood, Ma | Other | Jun 30, 2016 over 6 d |
| 5 | Signator Investors, Inc. other | Lincoln Investment other | Tallahassee, Fl +1 | Other | Mar 14, 2016 over 1 d |
| 3 | Signator Investors, Inc. other | MML Investors Services, LLC other | San Juan, Pr +1 | Other | Dec 31, 2015 over 13 d |
| 2 | Signator Investors, Inc. other | Ameriprise Financial Services, LLC national BD | Hamilton, Nj | Other | May 22, 2015 |