DFX Intelligence
Advisor teams
Teams that joined Merrill Lynch, Pierce, Fenner & Smith IncorporatedWhat 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.
727 teams
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 2 | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Austin, Tx | Wirehouse to wirehouse | Feb 24, 2015 |
| 7 | Morgan Stanley wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Woodland Hills, Ca +1 | Wirehouse to wirehouse | Feb 23, 2015 |
| 2 | Wells Fargo Advisors wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Advance, Nc +1 | Wirehouse to wirehouse | Feb 23, 2015 over 8 d |
| 2 | W•••• F•••• A••••••• wirehouse | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | New York, Ny | Wirehouse to wirehouse | Jan 30, 2015 |
| 2 | M••••• S•••••• wirehouse | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | Shrewsbury, Nj +1 | Wirehouse to wirehouse | Jan 26, 2015 over 8 d |
| 3 | M••••• S•••••• wirehouse | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | La Jolla, Ca +2 | Wirehouse to wirehouse | Jan 20, 2015 over 14 d |
| 2 | E••••• J•••• national BD | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | St Louis, Mo | Affiliated broker-dealer or bank to wirehouse | Jan 14, 2015 over 7 d |
derived from registration dates
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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.