DFX Intelligence
Advisor teams
Advisors who moved together, newest firstWhat counts as a teamA 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.
20,265 teams
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 3 | Forum Financial Management, LP independent RIA | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Frankfort, Il +1 | RIA to affiliated broker-dealer or bank | Nov 7, 2023 |
| 3 | Polaris Wealth Advisory Group independent RIA | Rwa Wealth Partners independent RIA | Troy, Mi | RIA to RIA | Nov 7, 2023 |
| 3 | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Honolulu, Hi | Affiliated broker-dealer or bank to another | Nov 7, 2023 |
| 2 | E•••••• A••••••• G••••• L•• BD affiliated | M••••• G••••• A••••••• I••• independent RIA | Greenwood Village, Co | Affiliated broker-dealer or bank to independent RIA | Nov 7, 2023 |
| 2 | P•••••• W••••• A••••••• G•••• independent RIA | R•• W••••• P••••••• independent RIA | Addison, Tx +1 | RIA to RIA | Nov 7, 2023 |
| 2 | F•••••••• A•••••••• I••••••••• M••••••••• independent RIA | L•• F•••••••• L•• BD affiliated | Olympia, Wa | RIA to affiliated broker-dealer or bank | Nov 7, 2023 over 10 d |
| 2 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | C••••••••• F•••••••• N•••••• national BD | Birmingham, Al | Affiliated broker-dealer or bank to another | Nov 7, 2023 over 3 d |
| 7 | M••••• S•••••• wirehouse | R•••••• J•••• • A••••••••• I••• national BD | Fort Myers, Fl +3 | Wirehouse to affiliated broker-dealer or bank | Nov 6, 2023 over 15 d |
| 3 | P•••••• W••••• A••••••• G•••• independent RIA | R•• W••••• P••••••• independent RIA | Chicago, Il | RIA to RIA | Nov 6, 2023 over 1 d |
| 3 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | W•••• F•••• A••••••• wirehouse | Hauppauge, Ny | Affiliated broker-dealer or bank to wirehouse | Nov 6, 2023 over 2 d |
| 3 | M••••• S•••••• wirehouse | J•••••••• I••••••••• A••••••• L•• BD affiliated | Aventura, Fl | Wirehouse to affiliated broker-dealer or bank | Nov 6, 2023 |
| 2 | E••••• J•••• national BD | M••••• S•••••• wirehouse | Evans, Ga | Affiliated broker-dealer or bank to wirehouse | Nov 6, 2023 |
| 2 | E••••• J•••• national BD | A••••••••• F•••••••• S•••••••• L•• national BD | Madison, Wi | Affiliated broker-dealer or bank to another | Nov 6, 2023 over 2 d |
| 2 | W••••••••• independent RIA | N•••••• A••••••• BD affiliated | Marina Del Rey, Ca +1 | RIA to affiliated broker-dealer or bank | Nov 6, 2023 |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | M••••• S•••••• wirehouse | Saratoga Springs, Ny +1 | Wirehouse to wirehouse | Nov 6, 2023 over 7 d |
| 7 | F•• S••••••••• C••••••••• BD affiliated | S•••••••• E••••• P•••••••• L••• independent RIA | Modesto, Ca +4 | Affiliated broker-dealer or bank to independent RIA | Nov 3, 2023 |
| 6 | F•• S••••••••• C••••••••• BD affiliated | C••••••••• A••••••• S••••••• I•• independent RIA | Naples, Fl +1 | Affiliated broker-dealer or bank to independent RIA | Nov 3, 2023 |
| 6 | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Topeka, Ks +1 | Affiliated broker-dealer or bank to another | Nov 3, 2023 |
| 4 | U••••• C•••••• F•••••••• A••••••• BD affiliated | K••••• P•••••• W••••• S•••••••• L•• BD affiliated | Plano, Tx +1 | Affiliated broker-dealer or bank to another | Nov 3, 2023 |
| 3 | U••••• C•••••• F•••••••• A••••••• BD affiliated | T•••••• W•••••• L•• no RAUM | Menlo Park, Ca +1 | Affiliated broker-dealer or bank to a newly registered adviser | Nov 3, 2023 over 6 d |
| 3 | F•• S••••••••• C••••••••• BD affiliated | M••••• • H••••• I••• independent RIA | Amherst, Ny | Affiliated broker-dealer or bank to independent RIA | Nov 3, 2023 |
| 3 | U••••• C•••••• F•••••••• A••••••• BD affiliated | D••••••••• W••••• M••••••••• L•• no RAUM | Great Falls, Va | Affiliated broker-dealer or bank to a newly registered adviser | Nov 3, 2023 |
| 3 | K•••••••• W••••• A•••••••• L•• BD affiliated | A••••••••• F•••••••• S•••••••• L•• national BD | San Diego, Ca | Affiliated broker-dealer or bank to another | Nov 3, 2023 |
| 2 | F•• S••••••••• C••••••••• BD affiliated | T•••• W••••• M••••••••• L•• state registered | Houston, Tx | Affiliated broker-dealer or bank to a state-registered adviser | Nov 3, 2023 |
| 2 | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Erie, Pa | Affiliated broker-dealer or bank to another | Nov 3, 2023 |
| 2 | A••••••••• F•••••••• S•••••••• L•• national BD | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | Minneapolis, Mn | Affiliated broker-dealer or bank to another | Nov 3, 2023 over 12 d |
| 2 | W•••• F•••• A••••••• wirehouse | L•• F•••••••• L•• BD affiliated | St Louis, Mo +1 | Wirehouse to affiliated broker-dealer or bank | Nov 3, 2023 over 11 d |
| 2 | A•••••• A••••••• S••••••• BD affiliated | C••••• I••••••••• A••••••• L•• BD affiliated | Woodland Hills, Ca +1 | Affiliated broker-dealer or bank to another | Nov 3, 2023 over 4 d |
| 2 | F•• S••••••••• C••••••••• BD affiliated | W•••••• W••••• M••••••••• L•• independent RIA | Malvern, Pa +1 | Affiliated broker-dealer or bank to independent RIA | Nov 3, 2023 |
| 9 | B•• W••••• A•••••••• L•• independent RIA | C•••••• L•• independent RIA | Columbia, Md | RIA to RIA | Nov 2, 2023 |
| 8 | C••••• I••••••••• A••••••• L•• BD affiliated | L•• F•••••••• L•• BD affiliated | Parsippany, Nj +5 | Affiliated broker-dealer or bank to another | Nov 2, 2023 over 42 d |
| 7 | U••••• C•••••• F•••••••• A••••••• BD affiliated | T••••••••• W•••••• L•• no RAUM | Bethesda, Md | Affiliated broker-dealer or bank to a newly registered adviser | Nov 2, 2023 over 1 d |
| 4 | U••••• C•••••• F•••••••• A••••••• BD affiliated | G•••••• S•••• W••••• S•••••••• L••• BD affiliated | Westport, Ct | Affiliated broker-dealer or bank to another | Nov 2, 2023 |
| 3 | U••••• C•••••• F•••••••• A••••••• BD affiliated | P•••• C•••••• F•••••••• mixed wealth | Fargo, Nd | Affiliated broker-dealer or bank to independent RIA | Nov 2, 2023 over 1 d |
| 3 | U••••• C•••••• F•••••••• A••••••• BD affiliated | T••••••••• W•••••• L•• no RAUM | San Diego, Ca | Affiliated broker-dealer or bank to a newly registered adviser | Nov 2, 2023 over 1 d |
| 3 | B•• W••••• A•••••••• L•• independent RIA | C•••••• L•• independent RIA | Fort Lauderdale, Fl +2 | RIA to RIA | Nov 2, 2023 |
| 3 | B•• W••••• A•••••••• L•• independent RIA | C•••••• L•• independent RIA | Chicago, Il | RIA to RIA | Nov 2, 2023 |
| 2 | F•• S••••••••• C••••••••• BD affiliated | B•• A••••••• G••••• L•• unclassified | Dallas, Tx | Other | Nov 2, 2023 over 1 d |
| 2 | U••••• C•••••• F•••••••• A••••••• BD affiliated | F•••••• independent RIA | Las Vegas, Nv | Affiliated broker-dealer or bank to independent RIA | Nov 2, 2023 over 1 d |
| 2 | C•••••• I••••••••• A••••••• S•••••••• L•• BD affiliated | S••••••• C•••••• M••••••••• L•• asset manager | Savannah, Ga | Other | Nov 2, 2023 |
| 2 | B•• W••••• A•••••••• L•• independent RIA | C•••••• L•• independent RIA | St Louis, Mo | RIA to RIA | Nov 2, 2023 |
| 5 | W••••••••• P•••••••• L•• independent RIA | L••••• E••• A••••••• no RAUM | Cary, Nc | RIA to a newly registered adviser | Nov 1, 2023 |
| 5 | C••••••••• F•••••••• N•••••• national BD | G••••• R••••••••• P••••••• L•• institutional | Bethesda, Md | Other | Nov 1, 2023 |
| 4 | M•• I•••••••• S•••••••• L•• BD affiliated | L•• F•••••••• L•• BD affiliated | Chicago, Il | Affiliated broker-dealer or bank to another | Nov 1, 2023 over 1 d |
| 4 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | D••••• W•••••• L•• independent RIA | Mechanicsburg, Pa | Affiliated broker-dealer or bank to independent RIA | Nov 1, 2023 over 5 d |
| 3 | J••••• M••••••••• S•••• L•• BD affiliated | L•• F•••••••• L•• BD affiliated | Amherst Williamsville, Ny | Affiliated broker-dealer or bank to another | Nov 1, 2023 |
| 3 | N•••••• A••••••• BD affiliated | L••••• E••• A••••••• no RAUM | Melville, Ny | Affiliated broker-dealer or bank to a newly registered adviser | Nov 1, 2023 |
| 3 | O•••• W•••••• I••• BD affiliated | K••••• A••••••• S•••••••• L•• BD affiliated | Bellaire, Tx | Affiliated broker-dealer or bank to another | Nov 1, 2023 over 2 d |
| 3 | E••••• J•••• national BD | •••••••• independent RIA | Moberly, Mo +1 | Affiliated broker-dealer or bank to independent RIA | Nov 1, 2023 over 13 d |
| 3 | A••••••••• F•••••••• S•••••••• L•• national BD | L•• F•••••••• L•• BD affiliated | The Villages, Fl +2 | Affiliated broker-dealer or bank to another | Nov 1, 2023 over 8 d |
| 2 | C•••••• A••••••• BD affiliated | C••••••••• F•••••••• N•••••• national BD | Harleysville, Pa +1 | Affiliated broker-dealer or bank to another | Nov 1, 2023 |
| 2 | U••• B•••••• I••••••••• I••• BD affiliated | W•••• F•••• A••••••• wirehouse | Sacramento, Ca +1 | Affiliated broker-dealer or bank to wirehouse | Nov 1, 2023 over 1 d |
| 2 | W••••••••• P•••••••• L•• independent RIA | L••••• E••• A••••••• no RAUM | New York, Ny | RIA to a newly registered adviser | Nov 1, 2023 |
| 2 | E••••• J•••• national BD | A••••••••• F•••••••• S•••••••• L•• national BD | Miami Lakes, Fl +1 | Affiliated broker-dealer or bank to another | Nov 1, 2023 over 7 d |
| 2 | E••••••••• P•••••••• L•• independent RIA | N•••••• A••••••• BD affiliated | Winchester, Tn | RIA to affiliated broker-dealer or bank | Nov 1, 2023 |
| 2 | W••••• S••••••••• A••••••• G•••• unclassified | T••••••••• L•• independent RIA | Scottsdale, Az | Other | Nov 1, 2023 |
| 2 | W••••••• F•••••••• S•••••••• I••• BD affiliated | C••• L•• BD affiliated | Milton, Ga | Affiliated broker-dealer or bank to another | Nov 1, 2023 |
| 2 | P•••••••• S••••••••• I••• BD affiliated | T•• A•••••••• G•••• BD affiliated | Lebanon, Tn +1 | Affiliated broker-dealer or bank to another | Nov 1, 2023 |
| 2 | L•••••• I••••••••• independent RIA | C••••••••• F•••••••• N•••••• national BD | Harleysville, Pa | RIA to affiliated broker-dealer or bank | Nov 1, 2023 |
| 2 | P•••••• A•••••• G••••• L•• BD affiliated | L•• F•••••••• L•• BD affiliated | Burr Ridge, Il +1 | Affiliated broker-dealer or bank to another | Nov 1, 2023 over 2 d |
derived from registration dates
The firm and advisor names past the first 3 rows are hidden. Open a row to reveal that record with a free account (5 a month), or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source is public either way.