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 Equitable Advisors, 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	Equitable Advisors, LLC national BD	Ameriprise Financial Services, LLC national BD	Melville, Ny	Affiliated broker-dealer or bank to another	May 6, 2020 over 2 d
2	Equitable Advisors, LLC national BD	Ameriprise Financial Services, LLC national BD	New York, Ny +1	Affiliated broker-dealer or bank to another	Apr 2, 2020 over 7 d
2	Equitable Advisors, LLC national BD	Pks Advisory Services, LLC independent RIA	Austin, Tx	Affiliated broker-dealer or bank to independent RIA	Jan 29, 2020 over 1 d
2	Equitable Advisors, LLC national BD	B. Riley Wealth Advisors, Inc. BD affiliated	Tampa, Fl	Affiliated broker-dealer or bank to another	Jan 28, 2020 over 8 d
3	Equitable Advisors, LLC national BD	Pks Advisory Services, LLC independent RIA	Austin, Tx +1	Affiliated broker-dealer or bank to independent RIA	Jan 3, 2020 over 3 d
2	Equitable Advisors, LLC national BD	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Austin, Tx	Affiliated broker-dealer or bank to wirehouse	Dec 10, 2019 over 1 d
2	Equitable Advisors, LLC national BD	Morgan Stanley wirehouse	New York, Ny +1	Affiliated broker-dealer or bank to wirehouse	Nov 8, 2019 over 7 d
2	Equitable Advisors, LLC national BD	UBS Financial Services Inc. wirehouse	San Francisco, Ca	Affiliated broker-dealer or bank to wirehouse	Nov 7, 2019 over 12 d
22	Equitable Advisors, LLC national BD	Pks Advisory Services, LLC independent RIA	Austin, Tx +1	Affiliated broker-dealer or bank to independent RIA	Oct 29, 2019 over 49 d
3	Equitable Advisors, LLC national BD	J.P. Morgan Securities LLC wirehouse	Los Angeles, Ca +1	Affiliated broker-dealer or bank to wirehouse	Oct 23, 2019 over 22 d
2	Equitable Advisors, LLC national BD	Burnham Gibson Wealth Advisors, Inc. other	Irvine, Ca	Other	Oct 3, 2019
2	Equitable Advisors, LLC national BD	Fidelity Personal And Workplace Advisors BD affiliated	Melville, Ny	Affiliated broker-dealer or bank to another	Jun 20, 2019 over 8 d
2	Equitable Advisors, LLC national BD	LPL Financial LLC independent RIA	Fort Worth, Tx	Affiliated broker-dealer or bank to independent RIA	Jun 10, 2019 over 1 d
2	Equitable Advisors, LLC national BD	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Los Angeles, Ca +1	Affiliated broker-dealer or bank to wirehouse	May 31, 2019 over 8 d
6	Equitable Advisors, LLC national BD	Kestra Advisory Services, LLC BD affiliated	Royal Oak, Mi	Affiliated broker-dealer or bank to another	May 23, 2019 over 25 d
2	Equitable Advisors, LLC national BD	Raymond James Financial Services Advisors, Inc BD affiliated	Midland, Tx	Affiliated broker-dealer or bank to another	May 22, 2019
3	Equitable Advisors, LLC national BD	J.P. Morgan Securities LLC wirehouse	New York, Ny +1	Affiliated broker-dealer or bank to wirehouse	May 21, 2019
2	Equitable Advisors, LLC national BD	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	New York, Ny	Affiliated broker-dealer or bank to wirehouse	May 14, 2019 over 1 d
2	Equitable Advisors, LLC national BD	Goldman Sachs Wealth Services, L.P. BD affiliated	Dallas, Tx	Affiliated broker-dealer or bank to another	May 1, 2019 over 5 d
2	Equitable Advisors, LLC national BD	Allstate Financial Advisors, LLC BD affiliated	Wall, Nj +1	Affiliated broker-dealer or bank to another	Apr 5, 2019 over 13 d
2	Equitable Advisors, LLC national BD	MML Investors Services, LLC BD affiliated	San Diego, Ca +1	Affiliated broker-dealer or bank to another	Mar 1, 2019 over 3 d
3	Equitable Advisors, LLC national BD	MML Investors Services, LLC BD affiliated	Wall, Nj +2	Affiliated broker-dealer or bank to another	Feb 20, 2019 over 2 d
2	Equitable Advisors, LLC national BD	Commonwealth Financial Network national BD	Wall, Nj +1	Affiliated broker-dealer or bank to another	Nov 26, 2018 over 1 d
2	Equitable Advisors, LLC national BD	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	New York, Ny +1	Affiliated broker-dealer or bank to wirehouse	Oct 12, 2018 over 7 d
3	Equitable Advisors, LLC national BD	Aps Wealth Management, LLC no RAUM	Melville, Ny	Affiliated broker-dealer or bank to a newly registered adviser	Sep 26, 2018 over 1 d
3	Equitable Advisors, LLC national BD	Ameriprise Financial Services, LLC national BD	New York, Ny	Affiliated broker-dealer or bank to another	Sep 21, 2018 over 11 d
5	Equitable Advisors, LLC national BD	American Portfolios Advisors, Inc independent RIA	Penfield, Ny +1	Affiliated broker-dealer or bank to independent RIA	Aug 30, 2018
3	Equitable Advisors, LLC national BD	Ameriprise Financial Services, LLC national BD	New York, Ny +1	Affiliated broker-dealer or bank to another	Aug 16, 2018 over 14 d
2	Equitable Advisors, LLC national BD	Ferguson Shapiro LLC no RAUM	Atlanta, Ga +1	Affiliated broker-dealer or bank to a newly registered adviser	Jul 26, 2018
2	Equitable Advisors, LLC national BD	Nfsg Corporation BD affiliated	Melville, Ny	Affiliated broker-dealer or bank to another	Jul 23, 2018 over 3 d
2	Equitable Advisors, LLC national BD	Goldman Sachs Wealth Services, L.P. BD affiliated	Syracuse, Ny +1	Affiliated broker-dealer or bank to another	Jul 12, 2018 over 11 d
2	Equitable Advisors, LLC national BD	J.P. Morgan Securities LLC wirehouse	Poughkeepsie, Ny +1	Affiliated broker-dealer or bank to wirehouse	May 9, 2018
2	Equitable Advisors, LLC national BD	Next Financial Group, Inc. independent RIA	Morristown, Nj	Affiliated broker-dealer or bank to independent RIA	Apr 27, 2018 over 3 d
2	Equitable Advisors, LLC national BD	UBS Financial Services Inc. wirehouse	Melville, Ny	Affiliated broker-dealer or bank to wirehouse	Apr 4, 2018 over 7 d
3	Equitable Advisors, LLC national BD	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Dallas, Tx +2	Affiliated broker-dealer or bank to wirehouse	Mar 28, 2018 over 12 d
2	Equitable Advisors, LLC national BD	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Los Angeles, Ca	Affiliated broker-dealer or bank to wirehouse	Mar 27, 2018 over 9 d
4	Equitable Advisors, LLC national BD	Ameriprise Financial Services, LLC national BD	Indianapolis, In +1	Affiliated broker-dealer or bank to another	Feb 15, 2018 over 14 d
2	Equitable Advisors, LLC national BD	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	New York, Ny	Affiliated broker-dealer or bank to wirehouse	Nov 28, 2017 over 3 d
2	Equitable Advisors, LLC national BD	J. W. Cole Advisors, Inc. other	Palm Bay, Fl	Other	Nov 15, 2017
2	Equitable Advisors, LLC national BD	Commonwealth Financial Network national BD	Williamsville, Ny	Affiliated broker-dealer or bank to another	Oct 31, 2017
2	Equitable Advisors, LLC national BD	Wells Fargo Advisors wirehouse	Raleigh, Nc	Affiliated broker-dealer or bank to wirehouse	Oct 13, 2017
2	Equitable Advisors, LLC national BD	Independent Financial Partners other	Powell, Oh	Other	May 1, 2017
2	Equitable Advisors, LLC national BD	Park Avenue Securities LLC other	Salt Lake City, Ut	Other	Mar 16, 2017
2	Equitable Advisors, LLC national BD	Commonwealth Financial Network national BD	Grand Rapids, Mi	Affiliated broker-dealer or bank to another	Mar 8, 2017
2	Equitable Advisors, LLC national BD	Park Avenue Securities LLC other	Lakewood, Co	Other	Oct 31, 2016 over 9 d
2	Equitable Advisors, LLC national BD	Oneamerica Securities, Inc. other	Richmond, Va	Other	Oct 4, 2016 over 3 d
6	Equitable Advisors, LLC national BD	Burnham Gibson Wealth Advisors, Inc. other	Irvine, Ca	Other	Sep 16, 2016
2	Equitable Advisors, LLC national BD	Securian Financial Services, Inc. other	Colorado Spring, Co +1	Other	Sep 12, 2016
6	Equitable Advisors, LLC national BD	Park Avenue Securities LLC other	San Diego, Ca	Other	Apr 20, 2016 over 6 d
2	Equitable Advisors, LLC national BD	J.P. Morgan Securities LLC wirehouse	Woodland Hills, Ca +1	Affiliated broker-dealer or bank to wirehouse	Mar 9, 2016 over 1 d
2	Equitable Advisors, LLC national BD	Corecap Advisors other	Troy, Mi	Other	Feb 12, 2016
5	Equitable Advisors, LLC national BD	Summit Wealth Strategies no RAUM	Chesterfield, Mo +3	Affiliated broker-dealer or bank to a newly registered adviser	Feb 8, 2016 over 9 d
2	Equitable Advisors, LLC national BD	Cambridge Investment Research Advisors, Inc. other	Salt Lake City, Ut	Other	Jan 19, 2016 over 1 d
2	Equitable Advisors, LLC national BD	Independent Financial Partners other	Deerfield, Il	Other	Dec 4, 2015 over 5 d
3	Equitable Advisors, LLC national BD	Securities America Advisors, Inc. other	Fargo, Nd +1	Other	Nov 5, 2015
3	Equitable Advisors, LLC national BD	Level Four Advisory Services other	Greenville, Nc +1	Other	Sep 16, 2015 over 1 d
2	Equitable Advisors, LLC national BD	Raymond James Financial Services Advisors, Inc other	Tampa, Fl	Other	Aug 18, 2015 over 13 d
2	Equitable Advisors, LLC national BD	American Portfolios Advisors, Inc other	Lancaster, Pa	Other	May 26, 2015
2	Equitable Advisors, LLC national BD	Trek Financial other	Salt Lake City, Ut +1	Other	May 15, 2015 over 5 d
2	Equitable Advisors, LLC national BD	World Equity Group, Inc. other	Salt Lake City, Ut +1	Other	May 15, 2015

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245 teams match.derived from registration dates