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 Td Ameritrade, 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 | Td Ameritrade, Inc. no RAUM | Raymond James & Associates, Inc. national BD | Omaha, Ne | Other | Oct 14, 2022 |
| 2 | Td Ameritrade, Inc. no RAUM | Edward Jones national BD | Westlake, Tx | Other | Oct 14, 2022 |
| 2 | Td Ameritrade, Inc. no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Menlo Park, Ca +1 | Other | Mar 30, 2021 over 14 d |
| 6 | Td Ameritrade, Inc. no RAUM | J.P. Morgan Securities LLC wirehouse | Indian Wells, Ca +5 | Other | Jan 11, 2021 |
| 5 | Td Ameritrade, Inc. no RAUM | J.P. Morgan Securities LLC wirehouse | Webster, Tx +3 | Other | Jan 11, 2021 over 11 d |
| 4 | Td Ameritrade, Inc. no RAUM | J.P. Morgan Securities LLC wirehouse | Canton, Oh +3 | Other | Jan 11, 2021 |
| 3 | Td Ameritrade, Inc. no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Thousand Oaks, Ca +2 | Other | Jan 11, 2021 |
| 3 | Td Ameritrade, Inc. no RAUM | Edward Jones national BD | Walnut Creek, Ca +2 | Other | Jan 11, 2021 |
| 3 | Td Ameritrade, Inc. no RAUM | Fisher Investments independent RIA | Fort Worth, Tx +1 | Other | Jan 11, 2021 |
| 3 | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC independent RIA | Carlsbad, Ca +2 | Other | Jan 11, 2021 |
| 3 | Td Ameritrade, Inc. no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | New York, Ny +1 | Other | Jan 11, 2021 over 9 d |
| 2 | Td Ameritrade, Inc. no RAUM | Citizens Securities, Inc. BD affiliated | New York, Ny +1 | Other | Jan 11, 2021 |
| 2 | Td Ameritrade, Inc. no RAUM | Citizens Securities, Inc. BD affiliated | Radnor, Pa | Other | Jan 11, 2021 |
| 2 | Td Ameritrade, Inc. no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Olympia, Wa | Other | Jan 11, 2021 |
| 2 | Td Ameritrade, Inc. no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Virginia Beach, Va +1 | Other | Jan 11, 2021 |
| 2 | Td Ameritrade, Inc. no RAUM | Empower Advisory Group, LLC institutional | Colorado Springs, Co | Other | Jan 11, 2021 |
| 2 | Td Ameritrade, Inc. no RAUM | Huntington Financial Advisors BD affiliated | Orange Village, Oh +1 | Other | Jan 11, 2021 |
| 2 | Td Ameritrade, Inc. no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Tampa, Fl +1 | Other | Jan 11, 2021 |
| 2 | Td Ameritrade, Inc. no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Lexington, Ky +1 | Other | Jan 11, 2021 |
| 2 | Td Ameritrade, Inc. no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Edina, Mn +1 | Other | Jan 11, 2021 |
| 2 | Td Ameritrade, Inc. no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Chesterfield, Mo | Other | Jan 11, 2021 |
| 2 | Td Ameritrade, Inc. no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Princeton, Nj +1 | Other | Jan 11, 2021 |
| 2 | Td Ameritrade, Inc. no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Columbus, Oh +1 | Other | Jan 11, 2021 |
| 2 | Td Ameritrade, Inc. no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Austin, Tx +1 | Other | Jan 11, 2021 |
| 2 | Td Ameritrade, Inc. no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Olympia, Wa +1 | Other | Jan 11, 2021 |
| 2 | Td Ameritrade, Inc. no RAUM | LPL Financial LLC BD affiliated | Chicago, Il | Other | Jan 6, 2021 over 5 d |
| 2 | Td Ameritrade, Inc. no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Fort Collins, Co +1 | Other | Dec 31, 2020 over 11 d |
| 2 | Td Ameritrade, Inc. no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Greenville, Sc +1 | Other | Nov 24, 2020 |
| 3 | Td Ameritrade, Inc. no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Thousand Oaks, Ca +2 | Other | Jul 3, 2020 over 5 d |
| 2 | Td Ameritrade, Inc. no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Houston, Tx +1 | Other | May 8, 2020 over 6 d |
| 2 | Td Ameritrade, Inc. no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Cupertino, Ca +1 | Other | Jan 31, 2020 over 3 d |
| 2 | Td Ameritrade, Inc. no RAUM | J.P. Morgan Securities LLC wirehouse | Chino, Ca +1 | Other | Sep 11, 2019 |
| 2 | Td Ameritrade, Inc. no RAUM | LPL Financial LLC BD affiliated | Orlando, Fl +1 | Other | Sep 4, 2019 over 7 d |
| 2 | Td Ameritrade, Inc. no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Miami, Fl +1 | Other | Aug 29, 2019 over 13 d |
| 2 | Td Ameritrade, Inc. no RAUM | Fisher Investments independent RIA | Westlake, Tx | Other | Sep 7, 2018 |
| 2 | Td Ameritrade, Inc. no RAUM | J.P. Morgan Securities LLC wirehouse | Westlake, Tx | Other | Sep 7, 2018 |
| 2 | Td Ameritrade, Inc. no RAUM | Voya Financial Advisors, Inc. other | Omaha, Ne | Other | Jun 21, 2017 |
| 2 | Td Ameritrade, Inc. no RAUM | J.P. Morgan Securities LLC wirehouse | Omaha, Ne | Other | Jun 21, 2017 |
| 2 | Td Ameritrade, Inc. no RAUM | Strategic Advisers LLC national BD | Oak Brook, Il +1 | Other | Aug 29, 2016 |
| 2 | Td Ameritrade, Inc. no RAUM | Scottrade Investment Management other | Fort Worth, Tx | Other | Apr 15, 2016 over 4 d |
| 2 | Td Ameritrade, Inc. no RAUM | Strategic Advisers LLC national BD | Westlake, Tx | Other | Jun 1, 2015 over 10 d |
| 2 | Td Ameritrade, Inc. no RAUM | Advice And Planning Services other | New York, Ny | Other | Jun 1, 2015 over 1 d |
| 2 | Td Ameritrade, Inc. no RAUM | Scottrade Investment Management other | Westlake, Tx | Other | Feb 25, 2015 over 12 d |