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 Waddell & Reed

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	Waddell & Reed other	Belpointe Asset Management LLC other	West Warwick, Ri	Other	Sep 8, 2017 over 6 d
2	Waddell & Reed other	Questar Asset Management, Inc. other	Tucson, Az	Other	Aug 23, 2017
3	Waddell & Reed other	Financial Advocates Investment Management other	Seattle, Wa +1	Other	Jul 28, 2017
3	Waddell & Reed other	Paramount Associates Wealth Management no RAUM	Las Vegas, Nv	Other	Jun 30, 2017
2	Waddell & Reed other	Intentional Finance, LLC no RAUM	Albuquerque, Nm	Other	May 31, 2017
6	Waddell & Reed other	Commonwealth Financial Network national BD	Nebraska City, Ne +2	Other	Apr 7, 2017
2	Waddell & Reed other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Torrance, Ca	Other	Mar 29, 2017
2	Waddell & Reed other	Securities America Advisors, Inc. other	Savage, Mn +1	Other	Mar 16, 2017 over 4 d
2	Waddell & Reed other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Sacramento, Ca +1	Other	Feb 21, 2017 over 8 d
2	Waddell & Reed other	V Wealth Advisors LLC other	Overland Park, Ks	Other	Feb 15, 2017
2	Waddell & Reed other	Good Life Advisors, LLC other	Spartanburg, Sc	Other	Feb 1, 2017
3	Waddell & Reed other	Financial Advocates Investment Management other	Seattle, Wa	Other	Jan 30, 2017
5	Waddell & Reed other	V Wealth Advisors LLC other	Columbia, Mo +2	Other	Jan 6, 2017 over 5 d
2	Waddell & Reed other	Simplyria Advisor Network other	Lynchburg, Va	Other	Dec 27, 2016
4	Waddell & Reed other	Financial Advocates Investment Management other	Bellevue, Wa +1	Other	Nov 9, 2016
2	Waddell & Reed other	Td Ameritrade, Inc. no RAUM	Riverside, Ca +1	Other	Nov 3, 2016 over 12 d
2	Waddell & Reed other	Concourse Financial Group Advisors other	Maitland, Fl	Other	Sep 6, 2016 over 6 d
2	Waddell & Reed other	Raymond James & Associates, Inc. national BD	Savage, Mn	Other	Aug 30, 2016 over 10 d
3	Waddell & Reed other	Ifg Advisory, LLC other	Acworth, Ga +1	Other	Aug 6, 2016 over 3 d
2	Waddell & Reed other	Good Life Advisors, LLC other	Orangeburg, Sc +1	Other	Aug 6, 2016 over 7 d
2	Waddell & Reed other	Independent Financial Partners other	Mt Pleasant, Mi +1	Other	Aug 4, 2016
2	Waddell & Reed other	Thurston Springer Advisors independent RIA	Charleroi, Pa	Other	Jun 24, 2016
2	Waddell & Reed other	Realta Investment Advisors, Inc other	Charleroi, Pa	Other	May 31, 2016
2	Waddell & Reed other	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Overland Park, Ks	Other	May 19, 2016 over 13 d
2	Waddell & Reed other	Creative Planning other	Shawnee, Ks +1	Other	May 7, 2016 over 12 d
2	Waddell & Reed other	Private Advisor Group, LLC other	Dublin, Oh	Other	May 3, 2016 over 1 d
3	Waddell & Reed other	Private Advisor Group, LLC other	Mount Juliet, Tn	Other	Mar 3, 2016
2	Waddell & Reed other	Wealthcare Advisory Partners LLC other	Scottsdale, Az +1	Other	Feb 6, 2016
3	Waddell & Reed other	Financial Advocates Investment Management other	Spokane, Wa	Other	Nov 4, 2015
2	Waddell & Reed other	Western Wealth Management LLC other	Ft Collins, Co +1	Other	Oct 31, 2015
2	Waddell & Reed other	Financial Advocates Investment Management other	Napa, Ca	Other	Jul 23, 2015
2	Waddell & Reed other	Financial Advocates Investment Management other	Kennewick, Wa	Other	Jul 23, 2015
2	Waddell & Reed other	Wealthplan Partners other	Omaha, Ne	Other	Apr 27, 2015
3	Waddell & Reed other	Ameriprise Financial Services, LLC national BD	Hays, Ks	Other	Feb 27, 2015
4	Waddell & Reed other	Purus Wealth Management, LLC no RAUM	Irvine, Ca	Other	Feb 4, 2015 over 1 d

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95 teams match.derived from registration dates