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 Crown Capital Securities, L.P.
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 |
|---|---|---|---|---|---|
| 5 | Crown Capital Securities, L.P. BD affiliated | LPL Financial LLC BD affiliated | Orange, Ca +3 | Affiliated broker-dealer or bank to another | Apr 17, 2024 |
| 4 | Crown Capital Securities, L.P. BD affiliated | Legacy Investment Strategies, LLC state registered | La Palma, Ca +2 | Affiliated broker-dealer or bank to a state-registered adviser | Apr 16, 2024 over 15 d |
| 4 | Crown Capital Securities, L.P. BD affiliated | Private Advisor Group, LLC BD affiliated | San Francisco, Ca +1 | Affiliated broker-dealer or bank to another | Apr 16, 2024 over 14 d |
| 2 | Crown Capital Securities, L.P. BD affiliated | Stone Hatcher Financial unclassified | Orange, Ca | Other | Mar 25, 2024 |
| 2 | Crown Capital Securities, L.P. BD affiliated | Wealth Enhancement Advisory Services, LLC independent RIA | Logan, Ut | Affiliated broker-dealer or bank to independent RIA | Mar 12, 2024 |
| 3 | Crown Capital Securities, L.P. BD affiliated | Independent Financial Group, LLC BD affiliated | Cayucos, Ca | Affiliated broker-dealer or bank to another | Feb 9, 2024 |
| 2 | Crown Capital Securities, L.P. BD affiliated | The Ameriflex Group BD affiliated | Las Vegas, Nv | Affiliated broker-dealer or bank to another | Jan 24, 2024 |
| 2 | Crown Capital Securities, L.P. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Aurora, Co | Affiliated broker-dealer or bank to another | Dec 31, 2023 |
| 3 | Crown Capital Securities, L.P. BD affiliated | Eagle Wealth Management Group Inc. independent RIA | Charlotte, Nc | Affiliated broker-dealer or bank to independent RIA | Nov 20, 2023 |
| 2 | Crown Capital Securities, L.P. BD affiliated | Money Concepts Advisory Service BD affiliated | Placentia, Ca +1 | Affiliated broker-dealer or bank to another | Nov 15, 2023 over 1 d |
| 2 | Crown Capital Securities, L.P. BD affiliated | Eagle Wealth Management Group Inc. no RAUM | Los Angeles, Ca +1 | Affiliated broker-dealer or bank to a newly registered adviser | Oct 12, 2023 |
| 2 | Crown Capital Securities, L.P. BD affiliated | Independent Financial Group, LLC BD affiliated | Irvine, Ca | Affiliated broker-dealer or bank to another | Oct 11, 2023 |
| 2 | Crown Capital Securities, L.P. BD affiliated | Geneos Wealth Management, Inc. BD affiliated | Erie, Pa | Affiliated broker-dealer or bank to another | Sep 28, 2023 |
| 2 | Crown Capital Securities, L.P. independent RIA | Diversify Advisory Services, LLC BD affiliated | Orange, Ca | RIA to affiliated broker-dealer or bank | Mar 9, 2020 over 1 d |
| 2 | Crown Capital Securities, L.P. other | Surevest Wealth Management independent RIA | Las Vegas, Nv | Other | Jul 18, 2017 |
| 3 | Crown Capital Securities, L.P. other | Cornerstone Securities LLC independent RIA | Arlington Heights, Il | Other | Oct 2, 2015 over 14 d |