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 Raymond James & Associates, 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 | Raymond James & Associates, Inc. national BD | Meridian Wealth Advisors, LLC no RAUM | Austin, Tx | Affiliated broker-dealer or bank to a newly registered adviser | Mar 31, 2016 over 5 d |
| 2 | Raymond James & Associates, Inc. national BD | Wells Fargo Advisors wirehouse | Three Rivers, Tx +1 | Affiliated broker-dealer or bank to wirehouse | Feb 11, 2016 over 7 d |
| 2 | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Miamisburg, Oh | Other | Oct 6, 2015 |
| 3 | Raymond James & Associates, Inc. national BD | Commonwealth Financial Network national BD | San Diego, Ca | Affiliated broker-dealer or bank to another | Jul 29, 2015 |
| 2 | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | St Petersburg, Fl | Other | Jul 14, 2015 over 1 d |
| 2 | Raymond James & Associates, Inc. national BD | Holistic Financial Partners, LLC no RAUM | Carmel, In | Other | Jun 3, 2015 over 1 d |
| 2 | Raymond James & Associates, Inc. national BD | Wells Fargo Advisors wirehouse | Greenville, Sc | Affiliated broker-dealer or bank to wirehouse | May 6, 2015 over 12 d |
| 2 | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Rogers, Ar | Other | Feb 18, 2015 |
| 3 | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | St Petersburg, Fl | Other | Feb 11, 2015 over 22 d |
| 3 | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Paramus, Nj | Other | Feb 9, 2015 |
| 2 | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Ft Myers, Fl +1 | Other | Jan 14, 2015 over 9 d |