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 LPL Financial 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
2	LPL Financial LLC BD affiliated	Elevation Point Wealth Partners, LLC independent RIA	Plymouth, Mn	Affiliated broker-dealer or bank to independent RIA	Jan 9, 2024
3	LPL Financial LLC BD affiliated	Tidemark, LLC independent RIA	San Diego, Ca +1	Affiliated broker-dealer or bank to independent RIA	Dec 22, 2023
2	LPL Financial LLC BD affiliated	Weinand Financial, Inc. no RAUM	Lacey, Wa	Affiliated broker-dealer or bank to a newly registered adviser	Dec 20, 2023 over 2 d
2	LPL Financial LLC BD affiliated	Commonwealth Financial Network national BD	Melville, Ny +1	Affiliated broker-dealer or bank to another	Dec 20, 2023 over 2 d
2	LPL Financial LLC BD affiliated	Gallagher Fiduciary Advisors, LLC institutional	San Diego, Ca	Other	Dec 12, 2023
5	LPL Financial LLC BD affiliated	Cetera Investment Advisers LLC BD affiliated	Chico, Ca +2	Affiliated broker-dealer or bank to another	Dec 5, 2023 over 15 d
2	LPL Financial LLC BD affiliated	Wells Fargo Advisors wirehouse	Park City, Ut	Affiliated broker-dealer or bank to wirehouse	Nov 29, 2023
3	LPL Financial LLC BD affiliated	Wells Fargo Advisors wirehouse	Tubac, Az	Affiliated broker-dealer or bank to wirehouse	Nov 16, 2023
2	LPL Financial LLC BD affiliated	Wells Fargo Advisors wirehouse	Rochester, Ny	Affiliated broker-dealer or bank to wirehouse	Nov 14, 2023 over 7 d
2	LPL Financial LLC BD affiliated	Cetera Investment Advisers LLC BD affiliated	Harrisburg, Pa +1	Affiliated broker-dealer or bank to another	Oct 13, 2023 over 7 d
2	LPL Financial LLC BD affiliated	Commonwealth Financial Network national BD	San Diego, Ca	Affiliated broker-dealer or bank to another	Oct 5, 2023 over 14 d
2	LPL Financial LLC BD affiliated	Advisors' Pride Inc. independent RIA	Fort Wayne, In	Affiliated broker-dealer or bank to independent RIA	Oct 3, 2023
2	LPL Financial LLC BD affiliated	Kestra Advisory Services, LLC BD affiliated	Minneapolis, Mn	Affiliated broker-dealer or bank to another	Sep 20, 2023
2	LPL Financial LLC BD affiliated	Kestra Advisory Services, LLC BD affiliated	Bayport, Ny	Affiliated broker-dealer or bank to another	Sep 20, 2023
3	LPL Financial LLC BD affiliated	Robert W. Baird & Co. Incorporated mixed wealth	Bountiful, Ut +2	Affiliated broker-dealer or bank to independent RIA	Sep 8, 2023 over 10 d
8	LPL Financial LLC BD affiliated	Commonwealth Financial Network national BD	Asheville, Nc +3	Affiliated broker-dealer or bank to another	Aug 28, 2023 over 8 d
2	LPL Financial LLC BD affiliated	U.S. Bancorp Investments, Inc. BD affiliated	Newport Beach, Ca +1	Affiliated broker-dealer or bank to another	Aug 10, 2023 over 6 d
2	LPL Financial LLC BD affiliated	Rockline Wealth Management LLC no RAUM	Plainview, Ny	Affiliated broker-dealer or bank to a newly registered adviser	Aug 9, 2023
3	LPL Financial LLC BD affiliated	Osaic Wealth, Inc. BD affiliated	Indianapolis, In +1	Affiliated broker-dealer or bank to another	Aug 7, 2023 over 3 d
2	LPL Financial LLC BD affiliated	Prosperity Capital Advisors independent RIA	Rochester, Mi	Affiliated broker-dealer or bank to independent RIA	Jun 26, 2023
3	LPL Financial LLC BD affiliated	Independent Financial Partners BD affiliated	Torrance, Ca +2	Affiliated broker-dealer or bank to another	Jun 13, 2023 over 1 d
2	LPL Financial LLC BD affiliated	Craft Wealth Services independent RIA	Mount Juliet, Tn +1	Affiliated broker-dealer or bank to independent RIA	Jun 12, 2023 over 1 d
3	LPL Financial LLC BD affiliated	Cuso Financial Services, L.P. BD affiliated	Moon Township, Pa +1	Affiliated broker-dealer or bank to another	May 26, 2023
2	LPL Financial LLC BD affiliated	Commonwealth Financial Network national BD	San Diego, Ca +1	Affiliated broker-dealer or bank to another	May 26, 2023
2	LPL Financial LLC BD affiliated	Edward Jones national BD	Goshen, In	Affiliated broker-dealer or bank to another	May 16, 2023 over 2 d
2	LPL Financial LLC BD affiliated	Hnp Capital LLC independent RIA	Yorkshire, Ny	Affiliated broker-dealer or bank to independent RIA	May 12, 2023 over 11 d
4	LPL Financial LLC BD affiliated	Dodds Wealth Management Group unclassified	Greenwood Village, Co +2	Other	Apr 25, 2023
2	LPL Financial LLC BD affiliated	Bos Asset Management, LLC mixed wealth	Fort Mill, Sc	Affiliated broker-dealer or bank to independent RIA	Apr 5, 2023
8	LPL Financial LLC BD affiliated	Mma Securities LLC no RAUM	Greensboro, Nc +2	Other	Apr 3, 2023
2	LPL Financial LLC BD affiliated	Mma Securities LLC no RAUM	San Diego, Ca	Other	Apr 3, 2023
2	LPL Financial LLC BD affiliated	Level Four Advisory Services BD affiliated	Roanoke, Va	Affiliated broker-dealer or bank to another	Mar 20, 2023
2	LPL Financial LLC independent RIA	Ameriprise Financial Services, LLC national BD	Tampa, Fl +1	RIA to affiliated broker-dealer or bank	Mar 1, 2023 over 14 d
2	LPL Financial LLC independent RIA	Osaic Institutions, Inc. BD affiliated	Uniondale, Ny +1	RIA to affiliated broker-dealer or bank	Feb 24, 2023 over 6 d
2	LPL Financial LLC independent RIA	Raymond James Financial Services Advisors, Inc BD affiliated	Kent, Wa +1	RIA to affiliated broker-dealer or bank	Feb 6, 2023
2	LPL Financial LLC independent RIA	Cuso Financial Services, L.P. BD affiliated	Shawano, Wi +1	RIA to affiliated broker-dealer or bank	Feb 6, 2023
2	LPL Financial LLC independent RIA	Ameriprise Financial Services, LLC national BD	San Diego, Ca +1	RIA to affiliated broker-dealer or bank	Jan 31, 2023 over 9 d
2	LPL Financial LLC independent RIA	Fourstar Wealth Advisors, LLC independent RIA	Elmhurst, Il	RIA to RIA	Jan 19, 2023
2	LPL Financial LLC independent RIA	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	San Diego, Ca	RIA to wirehouse	Jan 17, 2023 over 13 d
2	LPL Financial LLC independent RIA	Genwealth Financial Advisors, LLC unclassified	Alexander, Ar +1	Other	Jan 9, 2023
3	LPL Financial LLC independent RIA	Vestgen Advisors, LLC independent RIA	Inverness, Il +1	RIA to RIA	Dec 21, 2022
2	LPL Financial LLC independent RIA	Allworth Financial, L.P. BD affiliated	Chico, Ca	RIA to affiliated broker-dealer or bank	Dec 21, 2022
2	LPL Financial LLC independent RIA	Twin Peaks Wealth Advisors no RAUM	Burlingame, Ca +1	RIA to a newly registered adviser	Dec 20, 2022
2	LPL Financial LLC independent RIA	Trailwise Financial Partners, LLC independent RIA	Arvada, Co	RIA to RIA	Dec 16, 2022
2	LPL Financial LLC independent RIA	Cetera Investment Advisers LLC BD affiliated	San Diego, Ca	RIA to affiliated broker-dealer or bank	Dec 13, 2022
2	LPL Financial LLC independent RIA	Advice And Planning Services BD affiliated	Fort Mill, Sc	RIA to affiliated broker-dealer or bank	Nov 16, 2022 over 9 d
3	LPL Financial LLC independent RIA	Citigroup Global Markets Inc. BD affiliated	Bridgehampton, Ny +2	RIA to affiliated broker-dealer or bank	Nov 14, 2022 over 18 d
4	LPL Financial LLC independent RIA	Cannon Wealth Management Services no RAUM	Winston Salem, Nc +1	RIA to a newly registered adviser	Nov 10, 2022
2	LPL Financial LLC independent RIA	Key Investment Services LLC BD affiliated	Rochester, Ny +1	RIA to affiliated broker-dealer or bank	Nov 10, 2022
2	LPL Financial LLC independent RIA	Cetera Investment Advisers LLC BD affiliated	Commack, Ny	RIA to affiliated broker-dealer or bank	Oct 27, 2022 over 7 d
2	LPL Financial LLC independent RIA	Grove Point Advisors, LLC BD affiliated	Towaco, Nj	RIA to affiliated broker-dealer or bank	Oct 26, 2022
2	LPL Financial LLC independent RIA	Sagepoint Financial, Inc. BD affiliated	Fort Mill, Sc	RIA to affiliated broker-dealer or bank	Oct 20, 2022 over 13 d
3	LPL Financial LLC independent RIA	Lsb Wealth Management independent RIA	Allison, Ia +2	RIA to RIA	Sep 29, 2022
2	LPL Financial LLC independent RIA	Cetera Investment Advisers LLC BD affiliated	Sacramento, Ca +1	RIA to affiliated broker-dealer or bank	Sep 26, 2022 over 10 d
2	LPL Financial LLC independent RIA	Osaic Fa, Inc. BD affiliated	Bronx, Ny	RIA to affiliated broker-dealer or bank	Sep 23, 2022
2	LPL Financial LLC independent RIA	Ameriprise Financial Services, LLC national BD	Rexburg, Id	RIA to affiliated broker-dealer or bank	Aug 31, 2022 over 9 d
4	LPL Financial LLC independent RIA	Mutual Advisors, LLC BD affiliated	Mercer Island, Wa	RIA to affiliated broker-dealer or bank	Aug 29, 2022 over 4 d
2	LPL Financial LLC independent RIA	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Fulton, Md +1	RIA to wirehouse	Aug 25, 2022
2	LPL Financial LLC independent RIA	First Citizens Investor Services, Inc. BD affiliated	Fort Mill, Sc	RIA to affiliated broker-dealer or bank	Aug 22, 2022
2	LPL Financial LLC independent RIA	Key Investment Services LLC BD affiliated	Syracuse, Ny	RIA to affiliated broker-dealer or bank	Aug 15, 2022 over 7 d
2	LPL Financial LLC independent RIA	Ameriprise Financial Services, LLC national BD	Coppell, Tx	RIA to affiliated broker-dealer or bank	Aug 11, 2022

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693 teams match.derived from registration dates