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 |
|---|---|---|---|---|---|
| 2 | Cetera Investment Advisers LLC BD affiliated | MML Investors Services, LLC BD affiliated | Midlothian, Va +1 | Affiliated broker-dealer or bank to another | Nov 1, 2023 over 1 d |
| 9 | MML Investors Services, LLC BD affiliated | Global Retirement Partners LLC institutional | Fort Lauderdale, Fl +1 | Other | Oct 31, 2023 over 2 d |
| 7 | Ameriprise Financial Services, LLC national BD | Northrock Partners, LLC independent RIA | San Francisco, Ca +1 | Affiliated broker-dealer or bank to independent RIA | Oct 31, 2023 over 1 d |
| 3 | C••••• I••••••••• A••••••• L•• BD affiliated | U••• B•••••• I••••••••• I••• BD affiliated | Los Angeles, Ca | Affiliated broker-dealer or bank to another | Oct 31, 2023 over 6 d |
| 3 | N•••••••• A•••• M••••••••• independent RIA | W••••••••• F•••••••• independent RIA | Austin, Tx | RIA to RIA | Oct 31, 2023 |
| 2 | M••••• S•••••• wirehouse | W•••• F•••• A••••••• wirehouse | Woodland Hills, Ca +1 | Wirehouse to wirehouse | Oct 31, 2023 over 6 d |
| 2 | A•••••••• C•••••• M••••••••• independent RIA | E••••••• A•••• M••••••••• L•• independent RIA | Cornelius, Nc | RIA to RIA | Oct 31, 2023 |
| 2 | W•••• F•••• A••••••• wirehouse | J••• M••••• S••••••••• L•• wirehouse | Palo Alto, Ca +1 | Wirehouse to wirehouse | Oct 31, 2023 over 2 d |
| 2 | A••••• W••• I••••••••• A••••••• C••• unclassified | C•••••• S••••••••• M••••••••• I••• independent RIA | Boston, Ma | Other | Oct 31, 2023 |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | R••• W••••• S••••••••• L•• no RAUM | Indianapolis, In | Wirehouse to a newly registered adviser (no RAUM reported yet) | Oct 31, 2023 |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | M••••• S•••••• wirehouse | Delray Beach, Fl +1 | Wirehouse to wirehouse | Oct 31, 2023 over 13 d |
| 2 | O••••••••• institutional | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | Overland Park, Ks | Other | Oct 31, 2023 |
| 2 | A••••••••• F•••••••• S•••••••• L•• national BD | V•••••• F•••••••• P•••••••• L•• independent RIA | Youngstown, Oh | Affiliated broker-dealer or bank to independent RIA | Oct 31, 2023 over 1 d |
| 2 | S•••••• S••••••••• I••• independent RIA | L••••• F•••••••• G•••• L•• independent RIA | Columbus, Ga +1 | RIA to RIA | Oct 31, 2023 |
| 6 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | J••• M••••• S••••••••• L•• wirehouse | Garden City, Ny +3 | Wirehouse to wirehouse | Oct 30, 2023 over 42 d |
| 5 | A••••••••• F•••••••• S•••••••• L•• national BD | L•• F•••••••• L•• BD affiliated | Independence, Oh +1 | Affiliated broker-dealer or bank to another | Oct 30, 2023 over 2 d |
| 4 | M•• I•••••••• S•••••••• L•• BD affiliated | N•••••• A••••••• BD affiliated | Brunswick, Ga +1 | Affiliated broker-dealer or bank to another | Oct 30, 2023 over 2 d |
| 4 | C•••••• A••••••• BD affiliated | W•••• F•••• A••••••• wirehouse | Hanover, Pa | Affiliated broker-dealer or bank to wirehouse | Oct 30, 2023 |
| 3 | A••••••••• F•••••••• S•••••••• L•• national BD | L•• F•••••••• L•• BD affiliated | Raleigh, Nc +1 | Affiliated broker-dealer or bank to another | Oct 30, 2023 over 9 d |
| 2 | L•••••• I••••••••• independent RIA | W•••• F•••• A••••••• wirehouse | Hanover, Pa +1 | RIA to wirehouse | Oct 30, 2023 |
| 2 | O•••• F•• I••• BD affiliated | T•• A•••••••• G•••• BD affiliated | Casper, Wy | Affiliated broker-dealer or bank to another | Oct 30, 2023 |
| 2 | W••••••• F•••••••• S•••••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Issaquah, Wa | Affiliated broker-dealer or bank to another | Oct 30, 2023 |
| 2 | L•••••• I••••••••• independent RIA | W•••• F•••• A••••••• wirehouse | Palm Beach Gardens, Fl | RIA to wirehouse | Oct 30, 2023 |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | L•• F•••••••• L•• BD affiliated | Austin, Tx | Wirehouse to affiliated broker-dealer or bank | Oct 30, 2023 |
| 2 | S•• BD affiliated | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | Washington Township, Mi +1 | Affiliated broker-dealer or bank to another | Oct 30, 2023 |
| 2 | S•• BD affiliated | O•••• A••••••• S•••••••• L•• BD affiliated | Ypsilanti, Mi +1 | Affiliated broker-dealer or bank to another | Oct 30, 2023 over 11 d |
| 2 | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Carmel, In | Affiliated broker-dealer or bank to another | Oct 30, 2023 |
| 6 | K••••• A••••••• S•••••••• L•• BD affiliated | L•• F•••••••• L•• BD affiliated | Austin, Tx | Affiliated broker-dealer or bank to another | Oct 27, 2023 over 13 d |
| 5 | A•••• W••••• A•••••••• L•• BD affiliated | 2• F•••••••• independent RIA | St Louis, Mo | Affiliated broker-dealer or bank to independent RIA | Oct 27, 2023 over 6 d |
| 4 | U••••• C•••••• F•••••••• A••••••• BD affiliated | A•••••• W••••• M••••••••• L•• independent RIA | Norcross, Ga | Affiliated broker-dealer or bank to independent RIA | Oct 27, 2023 |
| 4 | U••••• C•••••• F•••••••• A••••••• BD affiliated | F•••••• independent RIA | Irving, Tx | Affiliated broker-dealer or bank to independent RIA | Oct 27, 2023 over 7 d |
| 3 | U••••• C•••••• F•••••••• A••••••• BD affiliated | F•••••• independent RIA | San Diego, Ca +2 | Affiliated broker-dealer or bank to independent RIA | Oct 27, 2023 over 7 d |
| 3 | S••••••••• A•••••• A•••••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Cameron Park, Ca | Affiliated broker-dealer or bank to another | Oct 27, 2023 over 4 d |
| 3 | U••••• C•••••• F•••••••• A••••••• BD affiliated | M••••••• W••••• M••••••••• L•• independent RIA | Tucson, Az +1 | Affiliated broker-dealer or bank to independent RIA | Oct 27, 2023 |
| 3 | U••••• C•••••• F•••••••• A••••••• BD affiliated | P•••• C•••••• F•••••••• mixed wealth | Bethesda, Md | Affiliated broker-dealer or bank to independent RIA | Oct 27, 2023 |
| 3 | U••••• C•••••• F•••••••• A••••••• BD affiliated | P•••• C•••••• F•••••••• mixed wealth | Houston, Tx | Affiliated broker-dealer or bank to independent RIA | Oct 27, 2023 |
| 2 | R•••••• J•••• • A••••••••• I••• national BD | O•••• W•••••• I••• BD affiliated | Oakbrook Terrace, Il +1 | Affiliated broker-dealer or bank to another | Oct 27, 2023 over 5 d |
| 2 | J••• M••••• S••••••••• L•• wirehouse | M••••• S•••••• wirehouse | Houston, Tx +1 | Wirehouse to wirehouse | Oct 27, 2023 over 10 d |
| 2 | W•••• F•••• A••••••• wirehouse | L•• F•••••••• L•• BD affiliated | North Wales, Pa | Wirehouse to affiliated broker-dealer or bank | Oct 26, 2023 |
| 2 | S••••••••• A•••••• A•••••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Portland, Or +1 | Affiliated broker-dealer or bank to another | Oct 26, 2023 over 11 d |
| 2 | C•••••••• F•••••••• G•••• A••••••• BD affiliated | O•••• W•••••• I••• BD affiliated | Jacksonville, Fl | Affiliated broker-dealer or bank to another | Oct 26, 2023 over 1 d |
| 2 | S•••••• N••••••• • C••••••• I••••••••• national BD | U•• F•••••••• S••••••• I••• wirehouse | New York, Ny | Affiliated broker-dealer or bank to wirehouse | Oct 26, 2023 |
| 3 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | M••••• S•••••• wirehouse | Chandler, Az +1 | Wirehouse to wirehouse | Oct 25, 2023 over 8 d |
| 3 | C•••••• A••••••• BD affiliated | C••••••••• F•••••••• N•••••• national BD | San Diego, Ca | Affiliated broker-dealer or bank to another | Oct 25, 2023 |
| 3 | L•••••• I••••••••• independent RIA | C••••••••• F•••••••• N•••••• national BD | Woodland Hills, Ca | RIA to affiliated broker-dealer or bank | Oct 25, 2023 |
| 2 | E•••••••• A•••••••• L•• national BD | M•• I•••••••• S•••••••• L•• BD affiliated | San Juan, Pr | Affiliated broker-dealer or bank to another | Oct 25, 2023 |
| 2 | R•• C•••••• M••••••• L•• national BD | L•• F•••••••• L•• BD affiliated | Boston, Ma | Affiliated broker-dealer or bank to another | Oct 25, 2023 |
| 2 | T•••••• A•••••••• L•• independent RIA | H•••••••• A•••••••• L•• BD affiliated | Ellensburg, Wa | RIA to affiliated broker-dealer or bank | Oct 25, 2023 |
| 2 | S••••••• W••••• M••••••••• L•• independent RIA | C••••••• institutional | New Orleans, La | Other | Oct 25, 2023 |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | L•• F•••••••• L•• BD affiliated | Pleasanton, Ca +1 | Wirehouse to affiliated broker-dealer or bank | Oct 25, 2023 over 8 d |
| 12 | U••••• C•••••• F•••••••• A••••••• BD affiliated | G•••••• S•••• W••••• S•••••••• L••• BD affiliated | Cohoes, Ny +1 | Affiliated broker-dealer or bank to another | Oct 24, 2023 over 9 d |
| 11 | U••••• C•••••• F•••••••• A••••••• BD affiliated | G•••••• S•••• W••••• S•••••••• L••• BD affiliated | Irving, Tx +3 | Affiliated broker-dealer or bank to another | Oct 24, 2023 over 9 d |
| 3 | U•• F•••••••• S••••••• I••• wirehouse | R••••••••• C•••••• M••••••••• BD affiliated | Atlanta, Ga | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2023 |
| 3 | U••••• C•••••• F•••••••• A••••••• BD affiliated | G•••••• S•••• W••••• S•••••••• L••• BD affiliated | Newport Beach, Ca | Affiliated broker-dealer or bank to another | Oct 24, 2023 |
| 3 | W•••• F•••• A••••••• wirehouse | U••• B•••••• I••••••••• I••• BD affiliated | Roseville, Ca +2 | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2023 over 9 d |
| 2 | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | S•••••••• E••••• P•••••••• L•• no RAUM | Mount Vernon, Oh +1 | Affiliated broker-dealer or bank to a newly registered adviser | Oct 24, 2023 |
| 2 | G•• A•••• M••••••••• I••• unclassified | T••• E••••••• A•••• M••••••••• state registered | Thousand Oaks, Ca | Other | Oct 24, 2023 |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | R••••••••• C•••••• M••••••••• BD affiliated | Jupiter, Fl | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2023 |
| 2 | U••••• C•••••• F•••••••• A••••••• BD affiliated | G•••••• S•••• W••••• S•••••••• L••• BD affiliated | Troy, Mi +1 | Affiliated broker-dealer or bank to another | Oct 24, 2023 |
| 7 | J••• M••••• S••••••••• L•• wirehouse | W•••• F•••• A••••••• wirehouse | Pasadena, Ca +5 | Wirehouse to wirehouse | Oct 23, 2023 over 18 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.