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 Fifth Third 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	Fifth Third Securities, Inc. BD affiliated	Ameriprise Financial Services, LLC national BD	Portage, Mi +1	Affiliated broker-dealer or bank to another	Jan 23, 2025
2	Fifth Third Securities, Inc. BD affiliated	Wells Fargo Advisors wirehouse	Indianapolis, In +1	Affiliated broker-dealer or bank to wirehouse	Aug 2, 2024
2	Fifth Third Securities, Inc. BD affiliated	LPL Financial LLC BD affiliated	Franklin, Tn +1	Affiliated broker-dealer or bank to another	Nov 16, 2023
3	Fifth Third Securities, Inc. BD affiliated	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Independence, Ky +1	Affiliated broker-dealer or bank to wirehouse	Jul 6, 2023 over 6 d
4	Fifth Third Securities, Inc. BD affiliated	Truist Advisory Services, Inc. BD affiliated	Estero, Fl +2	Affiliated broker-dealer or bank to another	Nov 14, 2022
2	Fifth Third Securities, Inc. BD affiliated	Morgan Stanley wirehouse	Hoffman Estates, Il +1	Affiliated broker-dealer or bank to wirehouse	Nov 4, 2022 over 3 d
5	Fifth Third Securities, Inc. BD affiliated	Morgan Stanley wirehouse	Chicago, Il +4	Affiliated broker-dealer or bank to wirehouse	May 9, 2022 over 35 d
3	Fifth Third Securities, Inc. BD affiliated	Morgan Stanley wirehouse	Lombard, Il +1	Affiliated broker-dealer or bank to wirehouse	Mar 16, 2022 over 26 d
2	Fifth Third Securities, Inc. BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Flint, Mi +1	Affiliated broker-dealer or bank to another	Mar 9, 2022 over 5 d
2	Fifth Third Securities, Inc. BD affiliated	Morgan Stanley wirehouse	Chicago, Il +1	Affiliated broker-dealer or bank to wirehouse	Jan 18, 2022
2	Fifth Third Securities, Inc. BD affiliated	Citigroup Global Markets Inc. BD affiliated	Countryside, Il +1	Affiliated broker-dealer or bank to another	Nov 3, 2021 over 1 d
2	Fifth Third Securities, Inc. BD affiliated	Wells Fargo Advisors wirehouse	Grand Rapids, Mi +1	Affiliated broker-dealer or bank to wirehouse	Nov 2, 2021
2	Fifth Third Securities, Inc. BD affiliated	J.P. Morgan Securities LLC wirehouse	Venice, Fl +1	Affiliated broker-dealer or bank to wirehouse	Aug 20, 2021 over 13 d
4	Fifth Third Securities, Inc. BD affiliated	Morgan Stanley wirehouse	Marco Island, Fl +1	Affiliated broker-dealer or bank to wirehouse	Aug 9, 2021 over 3 d
2	Fifth Third Securities, Inc. BD affiliated	Objective Capital Management, LLC independent RIA	Chicago, Il	Affiliated broker-dealer or bank to independent RIA	May 6, 2021
3	Fifth Third Securities, Inc. BD affiliated	Morgan Stanley wirehouse	River Forest, Il +2	Affiliated broker-dealer or bank to wirehouse	Mar 8, 2021
2	Fifth Third Securities, Inc. BD affiliated	J.P. Morgan Securities LLC wirehouse	Northbrook, Il +1	Affiliated broker-dealer or bank to wirehouse	Jan 5, 2021 over 10 d
2	Fifth Third Securities, Inc. BD affiliated	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Louisville, Ky	Affiliated broker-dealer or bank to wirehouse	Dec 23, 2020
2	Fifth Third Securities, Inc. BD affiliated	UBS Financial Services Inc. wirehouse	Cincinnati, Oh	Affiliated broker-dealer or bank to wirehouse	Dec 23, 2020
2	Fifth Third Securities, Inc. BD affiliated	J.P. Morgan Securities LLC wirehouse	Columbus, Oh +1	Affiliated broker-dealer or bank to wirehouse	Nov 4, 2020 over 8 d
2	Fifth Third Securities, Inc. BD affiliated	Cetera Investment Advisers LLC BD affiliated	Antioch, Tn +1	Affiliated broker-dealer or bank to another	Oct 22, 2020 over 13 d
2	Fifth Third Securities, Inc. BD affiliated	J.P. Morgan Securities LLC wirehouse	Orland Park, Il +1	Affiliated broker-dealer or bank to wirehouse	Mar 30, 2018 over 14 d
2	Fifth Third Securities, Inc. other	Vault Investment Partners, LLC no RAUM	Toledo, Oh +1	Other	Nov 28, 2017 over 13 d
2	Fifth Third Securities, Inc. other	Voya Financial Advisors, Inc. other	Findlay, Oh +1	Other	Sep 8, 2017
2	Fifth Third Securities, Inc. other	Wells Fargo Advisors wirehouse	East Lansing, Mi	Other	May 19, 2017
2	Fifth Third Securities, Inc. other	J.J.B. Hilliard, W.L. Lyons, LLC other	New Albany, Oh +1	Other	Nov 16, 2016 over 1 d
2	Fifth Third Securities, Inc. other	J.J.B. Hilliard, W.L. Lyons, LLC other	Columbus, Oh	Other	Jul 13, 2016
2	Fifth Third Securities, Inc. other	Pnc Wealth Management other	Burton, Mi +1	Other	Apr 18, 2016 over 7 d
2	Fifth Third Securities, Inc. other	Cetera Advisors LLC other	Wauseon, Oh +1	Other	Jul 7, 2015 over 6 d
2	Fifth Third Securities, Inc. other	Suntrust Investment Services, Inc. other	Tampa, Fl +1	Other	Jun 29, 2015
2	Fifth Third Securities, Inc. other	Wells Fargo Advisors wirehouse	Terre Haute, In +1	Other	Mar 20, 2015

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31 teams match.derived from registration dates