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 Commonwealth Financial Network
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 |
|---|---|---|---|---|---|
| 3 | Commonwealth Financial Network national BD | Cedar Point Capital Partners, LLC no RAUM | Cedar Rapids, Ia | Affiliated broker-dealer or bank to a newly registered adviser | Jan 31, 2022 over 1 d |
| 2 | Commonwealth Financial Network national BD | LPL Financial LLC BD affiliated | Provo, Ut +1 | Affiliated broker-dealer or bank to another | Jan 4, 2022 over 8 d |
| 6 | Commonwealth Financial Network national BD | Mariner BD affiliated | Pleasanton, Ca +3 | Affiliated broker-dealer or bank to another | Dec 31, 2021 over 4 d |
| 7 | Commonwealth Financial Network national BD | Global Retirement Partners LLC institutional | Wilmington, Ma | Other | Nov 10, 2021 over 1 d |
| 4 | Commonwealth Financial Network national BD | Global Retirement Partners LLC institutional | Austin, Tx | Other | Oct 18, 2021 |
| 2 | Commonwealth Financial Network national BD | Normandy Investment Advisors no RAUM | Overland Park, Ks | Affiliated broker-dealer or bank to a newly registered adviser | Oct 1, 2021 over 3 d |
| 3 | Commonwealth Financial Network national BD | Wealth Enhancement Advisory Services, LLC BD affiliated | Hagerstown, Md | Affiliated broker-dealer or bank to another | Aug 2, 2021 |
| 3 | Commonwealth Financial Network national BD | Janney Montgomery Scott LLC BD affiliated | Columbus, Oh | Affiliated broker-dealer or bank to another | Jun 3, 2021 |
| 4 | Commonwealth Financial Network national BD | Osaic Advisory Services, LLC BD affiliated | West Chester, Pa +1 | Affiliated broker-dealer or bank to another | Jan 19, 2021 over 1 d |
| 5 | Commonwealth Financial Network national BD | Hw Financial Advisors unclassified | Cleveland, Oh | Other | Jan 7, 2021 over 4 d |
| 4 | Commonwealth Financial Network national BD | Gw & Wade, LLC independent RIA | Needham, Ma | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2020 over 4 d |
| 3 | Commonwealth Financial Network national BD | Masso Torrence Wealth Management Inc. no RAUM | Marlton, Nj | Affiliated broker-dealer or bank to a newly registered adviser | Dec 31, 2020 |
| 2 | Commonwealth Financial Network national BD | Cgi Plan Advisors, Inc. no RAUM | Frazer, Pa | Affiliated broker-dealer or bank to a newly registered adviser | Dec 18, 2020 |
| 3 | Commonwealth Financial Network national BD | Beacon Pointe Advisors, LLC independent RIA | Metairie, La | Affiliated broker-dealer or bank to independent RIA | Nov 18, 2020 |
| 5 | Commonwealth Financial Network national BD | LPL Financial LLC BD affiliated | Honolulu, Hi | Affiliated broker-dealer or bank to another | Oct 16, 2020 |
| 4 | Commonwealth Financial Network national BD | Beacon Pointe Advisors, LLC independent RIA | Metairie, La | Affiliated broker-dealer or bank to independent RIA | Oct 5, 2020 over 23 d |
| 2 | Commonwealth Financial Network national BD | Independent Financial Group, LLC independent RIA | San Diego, Ca | Affiliated broker-dealer or bank to independent RIA | Sep 24, 2020 |
| 6 | Commonwealth Financial Network national BD | Allegiant Private Advisors, LLC no RAUM | Sarasota, Fl | Affiliated broker-dealer or bank to a newly registered adviser | Sep 18, 2020 over 24 d |
| 2 | Commonwealth Financial Network national BD | LPL Financial LLC BD affiliated | Marquette, Mi | Affiliated broker-dealer or bank to another | Jul 1, 2020 |
| 3 | Commonwealth Financial Network national BD | Afs Financial Group, LLC no RAUM | Bethesda, Md | Affiliated broker-dealer or bank to a newly registered adviser | May 8, 2020 |
| 3 | Commonwealth Financial Network national BD | Kestra Advisory Services, LLC BD affiliated | Essex, Ct | Affiliated broker-dealer or bank to another | Dec 31, 2019 |
| 2 | Commonwealth Financial Network national BD | LPL Financial LLC BD affiliated | Lakewood, Co | Affiliated broker-dealer or bank to another | Nov 19, 2019 |
| 2 | Commonwealth Financial Network national BD | Ameriprise Financial Services, LLC national BD | Auburn, Me | Affiliated broker-dealer or bank to another | Nov 5, 2019 |
| 2 | Commonwealth Financial Network national BD | Kuhn & Company Investment Counsel, LLC no RAUM | Naperville, Il +1 | Affiliated broker-dealer or bank to a newly registered adviser | Nov 1, 2019 over 5 d |
| 2 | Commonwealth Financial Network national BD | Fsa Wealth Management, LLC independent RIA | Needham, Ma | Affiliated broker-dealer or bank to independent RIA | Aug 16, 2019 |
| 2 | Commonwealth Financial Network national BD | Cetera Investment Advisers LLC BD affiliated | Spokane Valley, Wa | Affiliated broker-dealer or bank to another | Jun 3, 2019 |
| 3 | Commonwealth Financial Network national BD | Clearview Wealth Management independent RIA | Irvine, Ca | Affiliated broker-dealer or bank to independent RIA | May 17, 2019 |
| 3 | Commonwealth Financial Network national BD | Kintra Wealth, LLC no RAUM | Williamsport, Pa +1 | Affiliated broker-dealer or bank to a newly registered adviser | Apr 5, 2019 |
| 2 | Commonwealth Financial Network national BD | Masters Legacy Planning no RAUM | Linwood, Nj | Affiliated broker-dealer or bank to a newly registered adviser | Oct 26, 2018 |
| 3 | Commonwealth Financial Network national BD | Atlanta Financial Associates, LLC independent RIA | Atlanta, Ga | Affiliated broker-dealer or bank to independent RIA | Aug 27, 2018 over 1 d |
| 2 | Commonwealth Financial Network national BD | Yoder Wealth Management independent RIA | Walnut Creek, Ca +1 | Affiliated broker-dealer or bank to independent RIA | Apr 24, 2018 |
| 2 | Commonwealth Financial Network national BD | Geneos Wealth Management, Inc. other | Wexford, Pa | Other | Mar 2, 2018 |
| 4 | Commonwealth Financial Network national BD | Cic Wealth, LLC no RAUM | Gaithersburg, Md +2 | Affiliated broker-dealer or bank to a newly registered adviser | Nov 13, 2017 over 1 d |
| 2 | Commonwealth Financial Network national BD | Raymond James & Associates, Inc. national BD | Grand Rapids, Mi +1 | Affiliated broker-dealer or bank to another | Sep 29, 2017 |
| 3 | Commonwealth Financial Network national BD | Fure Financial Corporation no RAUM | Bloomington, Mn | Affiliated broker-dealer or bank to a newly registered adviser | Jul 6, 2017 |
| 2 | Commonwealth Financial Network national BD | Touchstone Capital, Inc. independent RIA | Pittsburgh, Pa +1 | Affiliated broker-dealer or bank to independent RIA | Jun 19, 2017 |
| 5 | Commonwealth Financial Network national BD | U.S. Capital Wealth Advisors, LLC no RAUM | Austin, Tx | Affiliated broker-dealer or bank to a newly registered adviser | Jun 2, 2017 |
| 2 | Commonwealth Financial Network national BD | Cambridge Investment Research Advisors, Inc. other | Columbus, Oh | Other | May 2, 2017 |
| 2 | Commonwealth Financial Network national BD | Seattle Wealth Management LLC no RAUM | Seattle, Wa | Affiliated broker-dealer or bank to a newly registered adviser | Mar 7, 2017 |
| 4 | Commonwealth Financial Network national BD | Raymond James Financial Services Advisors, Inc other | Moon Township, Pa +1 | Other | Mar 1, 2017 |
| 2 | Commonwealth Financial Network national BD | Raymond James Financial Services Advisors, Inc other | Boston, Ma | Other | Feb 28, 2017 |
| 2 | Commonwealth Financial Network national BD | Cambridge Investment Research Advisors, Inc. other | Burlington, Ma | Other | Jan 5, 2017 |
| 4 | Commonwealth Financial Network national BD | LPL Financial LLC other | Lake Elmo, Mn | Other | Dec 16, 2016 |
| 2 | Commonwealth Financial Network national BD | Legacy Wealth Partners Inc. no RAUM | Calabasas, Ca +1 | Affiliated broker-dealer or bank to a newly registered adviser | Nov 11, 2016 |
| 2 | Commonwealth Financial Network national BD | Vestgen Investment Management other | Red Bank, Nj | Other | Nov 8, 2016 |
| 2 | Commonwealth Financial Network national BD | American Portfolios Advisors, Inc other | Sparta, Nj | Other | Jun 27, 2016 |
| 2 | Commonwealth Financial Network national BD | Nfp Advisor Services, LLC other | La Quinta, Ca +1 | Other | Feb 29, 2016 over 2 d |
| 7 | Commonwealth Financial Network national BD | D.B. Root & Company, LLC no RAUM | Pittsburgh, Pa | Affiliated broker-dealer or bank to a newly registered adviser | Sep 30, 2015 |
| 2 | Commonwealth Financial Network national BD | Mid Atlantic Financial Management, Inc. other | Wexford, Pa | Other | Jul 13, 2015 |
| 2 | Commonwealth Financial Network national BD | J. W. Cole Advisors, Inc. other | Sun City, Az +1 | Other | Jul 8, 2015 |
Page 5 of 5Previous
290 teams match.derived from registration dates