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 Pruco Securities, LLC

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	Pruco Securities, LLC BD affiliated	LPL Enterprise, LLC no RAUM	Sunnyvale, Ca +2	Affiliated broker-dealer or bank to a newly registered adviser	Dec 6, 2024
6	Pruco Securities, LLC BD affiliated	LPL Enterprise, LLC no RAUM	Newark, Nj	Affiliated broker-dealer or bank to a newly registered adviser	Dec 5, 2024 over 1 d
2	Pruco Securities, LLC BD affiliated	Equitable Advisors, LLC national BD	Sherman Oaks, Ca +1	Affiliated broker-dealer or bank to another	Oct 25, 2024 over 12 d
3	Pruco Securities, LLC BD affiliated	MML Investors Services, LLC BD affiliated	Forest Hills, Ny +1	Affiliated broker-dealer or bank to another	Oct 8, 2024 over 1 d
2	Pruco Securities, LLC BD affiliated	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	East Brunswick, Nj +1	Affiliated broker-dealer or bank to wirehouse	Oct 2, 2024 over 2 d
3	Pruco Securities, LLC BD affiliated	LPL Enterprise, LLC no RAUM	Somerset, Nj +2	Affiliated broker-dealer or bank to a newly registered adviser	Sep 25, 2024 over 8 d
2	Pruco Securities, LLC BD affiliated	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Grove City, Oh +1	Affiliated broker-dealer or bank to wirehouse	Aug 19, 2024 over 11 d
6	Pruco Securities, LLC BD affiliated	Ameriprise Financial Services, LLC national BD	Brookfield, Wi	Affiliated broker-dealer or bank to another	Jul 16, 2024 over 9 d
2	Pruco Securities, LLC BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Marlborough, Ma +1	Affiliated broker-dealer or bank to another	Jun 11, 2024 over 1 d
6	Pruco Securities, LLC BD affiliated	The Ameriflex Group BD affiliated	Greenwood Village, Co +2	Affiliated broker-dealer or bank to another	Apr 11, 2024 over 1 d
2	Pruco Securities, LLC BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Uniontown, Oh +1	Affiliated broker-dealer or bank to another	Apr 4, 2024 over 12 d
3	Pruco Securities, LLC BD affiliated	Osaic Wealth, Inc. BD affiliated	Sioux Falls, Sd	Affiliated broker-dealer or bank to another	Feb 5, 2024
2	Pruco Securities, LLC BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Roseville, Ca +1	Affiliated broker-dealer or bank to another	Jan 7, 2024 over 4 d
2	Pruco Securities, LLC BD affiliated	Equitable Advisors, LLC national BD	Mercer Island, Wa +1	Affiliated broker-dealer or bank to another	Dec 20, 2023 over 1 d
2	Pruco Securities, LLC BD affiliated	Equitable Advisors, LLC national BD	Tampa, Fl	Affiliated broker-dealer or bank to another	Nov 21, 2023 over 6 d
2	Pruco Securities, LLC BD affiliated	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Toms River, Nj +1	Affiliated broker-dealer or bank to wirehouse	Sep 15, 2023
2	Pruco Securities, LLC BD affiliated	Lion Street Advisors, LLC BD affiliated	Sunbury, Oh	Affiliated broker-dealer or bank to another	Jul 14, 2023 over 3 d
2	Pruco Securities, LLC BD affiliated	Esi Financial Advisors BD affiliated	New Castle, Pa +1	Affiliated broker-dealer or bank to another	Mar 8, 2023 over 1 d
2	Pruco Securities, LLC BD affiliated	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	San Jose, Ca +1	Affiliated broker-dealer or bank to wirehouse	Jan 26, 2023 over 8 d
2	Pruco Securities, LLC BD affiliated	Russell Investments other	Wauwatosa, Wi	Other	Dec 6, 2022
2	Pruco Securities, LLC BD affiliated	Ameriprise Financial Services, LLC national BD	St Louis Park, Mn +1	Affiliated broker-dealer or bank to another	Sep 13, 2022 over 3 d
2	Pruco Securities, LLC BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Basking Ridge, Nj +1	Affiliated broker-dealer or bank to another	Jul 22, 2022 over 13 d
2	Pruco Securities, LLC BD affiliated	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Arlington, Tx +1	Affiliated broker-dealer or bank to wirehouse	May 19, 2022 over 5 d
2	Pruco Securities, LLC BD affiliated	Morgan Stanley wirehouse	North Bethesda, Md	Affiliated broker-dealer or bank to wirehouse	Mar 10, 2022 over 7 d
3	Pruco Securities, LLC BD affiliated	MML Investors Services, LLC BD affiliated	Shelton, Ct	Affiliated broker-dealer or bank to another	Feb 14, 2022
2	Pruco Securities, LLC BD affiliated	Ameritas Advisory Services BD affiliated	Los Angeles, Ca	Affiliated broker-dealer or bank to another	Aug 6, 2021 over 10 d
2	Pruco Securities, LLC BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Roseville, Ca	Affiliated broker-dealer or bank to another	Jul 9, 2021 over 12 d
2	Pruco Securities, LLC BD affiliated	Vanguard Advisers, Inc. BD affiliated	Marlton, Nj +1	Affiliated broker-dealer or bank to another	Apr 28, 2021 over 5 d
2	Pruco Securities, LLC BD affiliated	Woodbury Financial Services, Inc. BD affiliated	Omaha, Ne	Affiliated broker-dealer or bank to another	Mar 18, 2021 over 1 d
3	Pruco Securities, LLC BD affiliated	LPL Financial LLC BD affiliated	Owings Mills, Md	Affiliated broker-dealer or bank to another	Jul 23, 2020 over 7 d
2	Pruco Securities, LLC BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Columbus, Oh	Affiliated broker-dealer or bank to another	Jul 23, 2020
2	Pruco Securities, LLC BD affiliated	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Cincinnati, Oh	Affiliated broker-dealer or bank to wirehouse	Jul 6, 2020 over 8 d
2	Pruco Securities, LLC BD affiliated	Securian Financial Services, Inc. BD affiliated	Atlanta, Ga	Affiliated broker-dealer or bank to another	Feb 20, 2020 over 6 d
2	Pruco Securities, LLC BD affiliated	Ameriprise Financial Services, LLC national BD	Mercer Island, Wa	Affiliated broker-dealer or bank to another	Sep 30, 2019 over 1 d
2	Pruco Securities, LLC BD affiliated	MML Investors Services, LLC BD affiliated	Franklin, Tn	Affiliated broker-dealer or bank to another	Dec 13, 2018
2	Pruco Securities, LLC BD affiliated	Ameriprise Financial Services, LLC national BD	Bradenton, Fl +1	Affiliated broker-dealer or bank to another	Nov 12, 2018 over 4 d
2	Pruco Securities, LLC BD affiliated	MML Investors Services, LLC BD affiliated	Columbia, Sc +1	Affiliated broker-dealer or bank to another	Aug 17, 2018 over 4 d
2	Pruco Securities, LLC BD affiliated	J.P. Morgan Securities LLC wirehouse	Columbus, Oh +1	Affiliated broker-dealer or bank to wirehouse	Jun 25, 2018 over 2 d
2	Pruco Securities, LLC BD affiliated	Synovus Securities, Inc. other	Jacksonville, Fl	Other	Mar 7, 2018 over 6 d
2	Pruco Securities, LLC BD affiliated	MML Investors Services, LLC other	Sherman Oaks, Ca +1	Other	Jan 9, 2018 over 8 d
2	Pruco Securities, LLC BD affiliated	Brucke Financial, Inc. independent RIA	Indianapolis, In	Affiliated broker-dealer or bank to independent RIA	Jan 9, 2018 over 2 d
2	Pruco Securities, LLC other	Great Valley Advisor Group, LLC other	Brookfield, Wi	Other	Oct 17, 2017 over 7 d
2	Pruco Securities, LLC other	Allstate Financial Advisors, LLC no RAUM	Boca Raton, Fl +1	Other	Jan 30, 2017 over 11 d
2	Pruco Securities, LLC other	Tlg Advisors, Inc. other	Warrington, Pa	Other	Jan 11, 2017
3	Pruco Securities, LLC other	Great Valley Advisor Group, LLC other	Doylestown, Pa +2	Other	Jan 10, 2017 over 2 d
2	Pruco Securities, LLC other	Great Valley Advisor Group, LLC other	Wauwatosa, Wi	Other	May 13, 2016
2	Pruco Securities, LLC other	MML Investors Services, LLC other	Irvine, Ca +1	Other	May 3, 2016 over 7 d
2	Pruco Securities, LLC other	Eagle Strategies LLC other	Plano, Tx	Other	Apr 20, 2016 over 6 d
2	Pruco Securities, LLC other	Sagepoint Financial, Inc. other	Walnut Creek, Ca	Other	Feb 17, 2016
2	Pruco Securities, LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Newark, Nj	Other	Jan 5, 2016
2	Pruco Securities, LLC other	Stratos Wealth Partners, Ltd other	Centerville, Oh +1	Other	Oct 30, 2015 over 5 d
3	Pruco Securities, LLC other	United Planners' Financial Services Of America A Limited Partner other	Irvine, Ca	Other	Oct 15, 2015 over 14 d

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52 teams match.derived from registration dates