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 Hilltop Securities 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 |
|---|---|---|---|---|---|
| 2 | Hilltop Securities Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Dallas, Tx | Affiliated broker-dealer or bank to another | Oct 12, 2023 |
| 2 | Hilltop Securities Inc. BD affiliated | LPL Financial LLC BD affiliated | Longview, Tx | Affiliated broker-dealer or bank to another | Jul 3, 2023 over 2 d |
| 2 | Hilltop Securities Inc. BD affiliated | D.A. Davidson & Co. independent RIA | Austin, Tx | Affiliated broker-dealer or bank to independent RIA | Apr 22, 2023 |
| 4 | Hilltop Securities Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | League City, Tx +1 | Affiliated broker-dealer or bank to another | Oct 18, 2022 over 7 d |
| 2 | Hilltop Securities Inc. BD affiliated | Momentum Independent Network Inc. BD affiliated | Dallas, Tx | Affiliated broker-dealer or bank to another | Apr 8, 2022 |
| 2 | Hilltop Securities Inc. BD affiliated | D.A. Davidson & Co. independent RIA | Austin, Tx | Affiliated broker-dealer or bank to independent RIA | Nov 22, 2021 |
| 3 | Hilltop Securities Inc. BD affiliated | Vista Investment Partners LLC independent RIA | Oklahoma City, Ok | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2021 |
| 2 | Hilltop Securities Inc. BD affiliated | Kestra Private Wealth Services, LLC BD affiliated | Del Mar, Ca | Affiliated broker-dealer or bank to another | May 27, 2020 |
| 5 | Hilltop Securities Inc. other | Stifel, Nicolaus & Company, Incorporated national BD | San Diego, Ca | Other | Oct 12, 2015 over 11 d |
| 3 | Hilltop Securities Inc. other | B Riley Wealth Management other | Houston, Tx | Other | Oct 7, 2015 over 9 d |
| 2 | Hilltop Securities Inc. other | LPL Financial LLC other | Dallas, Tx | Other | Sep 1, 2015 |
| 2 | Hilltop Securities Inc. other | RBC Capital Markets, LLC national BD | Houston, Tx | Other | Jun 5, 2015 over 6 d |
| 2 | Hilltop Securities Inc. other | Monex Asset Management, Inc. other | San Antonio, Tx | Other | May 1, 2015 |