RIA Intelligence
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 | Avantax Advisory Services other | Edison, Nj | Other | May 13, 2015 over 6 d |
| 3 | Equitable Advisors, LLC national BD | Cetera Investment Advisers LLC other | Wichita, Ks | Other | May 7, 2015 |
| 2 | Equitable Advisors, LLC national BD | World Equity Group, Inc. other | Folsom, Ca +1 | Other | May 7, 2015 |
| 2 | Equitable Advisors, LLC national BD | Ameriprise Financial Services, LLC national BD | Farmington, Mi | Affiliated broker-dealer or bank to another | Apr 13, 2015 |
| 2 | Equitable Advisors, LLC national BD | Cambridge Investment Research Advisors, Inc. other | Sterling, Va +1 | Other | Feb 4, 2015 over 5 d |