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 joined MML Investors Services, LLC

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	Lenox Advisors, Inc. unclassified	MML Investors Services, LLC BD affiliated	New York, Ny	Other	Mar 30, 2020
3	Park Avenue Securities LLC BD affiliated	MML Investors Services, LLC BD affiliated	Franklin, Tn	Affiliated broker-dealer or bank to another	Jan 14, 2020
2	Eagle Strategies LLC BD affiliated	MML Investors Services, LLC BD affiliated	White Plains, Ny +1	Affiliated broker-dealer or bank to another	Jan 9, 2020 over 7 d
2	Eagle Strategies LLC BD affiliated	MML Investors Services, LLC BD affiliated	Scranton, Pa	Affiliated broker-dealer or bank to another	Jan 8, 2020 over 13 d
2	Mutual Of Omaha Investor Services, Inc. no RAUM	MML Investors Services, LLC BD affiliated	Phoenix, Az	Other	Dec 19, 2019
2	Securian Financial Services, Inc. BD affiliated	MML Investors Services, LLC BD affiliated	Martinsville, Nj	Affiliated broker-dealer or bank to another	Oct 18, 2019
2	Foresters Advisory Services, LLC BD affiliated	MML Investors Services, LLC BD affiliated	Pearl River, Ny +1	Affiliated broker-dealer or bank to another	Jun 7, 2019 over 13 d
2	Oneamerica Securities, Inc. BD affiliated	MML Investors Services, LLC BD affiliated	Kennesaw, Ga +1	Affiliated broker-dealer or bank to another	Jun 4, 2019 over 14 d
2	Eagle Strategies LLC BD affiliated	MML Investors Services, LLC BD affiliated	New York, Ny	Affiliated broker-dealer or bank to another	May 10, 2019 over 14 d
2	Equitable Advisors, LLC national BD	MML Investors Services, LLC BD affiliated	San Diego, Ca +1	Affiliated broker-dealer or bank to another	Mar 1, 2019 over 3 d
3	Equitable Advisors, LLC national BD	MML Investors Services, LLC BD affiliated	Wall, Nj +2	Affiliated broker-dealer or bank to another	Feb 20, 2019 over 2 d
2	On Investment Management Co BD affiliated	MML Investors Services, LLC BD affiliated	Cincinnati, Oh +1	Affiliated broker-dealer or bank to another	Dec 31, 2018
2	Lenox Advisors, Inc. unclassified	MML Investors Services, LLC BD affiliated	New York, Ny	Other	Dec 31, 2018 over 9 d
2	Raymond James Financial Services Advisors, Inc BD affiliated	MML Investors Services, LLC BD affiliated	Hackensack, Nj +1	Affiliated broker-dealer or bank to another	Dec 24, 2018 over 10 d
2	Pruco Securities, LLC BD affiliated	MML Investors Services, LLC BD affiliated	Franklin, Tn	Affiliated broker-dealer or bank to another	Dec 13, 2018
2	Park Avenue Securities LLC BD affiliated	MML Investors Services, LLC BD affiliated	Boca Raton, Fl	Affiliated broker-dealer or bank to another	Sep 20, 2018 over 11 d
2	Park Avenue Securities LLC BD affiliated	MML Investors Services, LLC BD affiliated	King Of Prussia, Pa	Affiliated broker-dealer or bank to another	Sep 7, 2018 over 3 d
2	Pruco Securities, LLC BD affiliated	MML Investors Services, LLC BD affiliated	Columbia, Sc +1	Affiliated broker-dealer or bank to another	Aug 17, 2018 over 4 d
2	Hornor, Townsend & Kent, LLC BD affiliated	MML Investors Services, LLC BD affiliated	Lake Oswego, Or	Affiliated broker-dealer or bank to another	Jun 29, 2018
2	Waddell & Reed BD affiliated	MML Investors Services, LLC BD affiliated	Charleroi, Pa	Affiliated broker-dealer or bank to another	May 9, 2018 over 7 d
2	Wells Fargo Advisors wirehouse	MML Investors Services, LLC BD affiliated	Purchase, Ny +1	Wirehouse to affiliated broker-dealer or bank	Apr 10, 2018 over 1 d
8	Mariner independent RIA	MML Investors Services, LLC BD affiliated	Overland Park,, Ks	RIA to affiliated broker-dealer or bank	Apr 5, 2018
7	Mariner independent RIA	MML Investors Services, LLC BD affiliated	Boston, Ma +2	RIA to affiliated broker-dealer or bank	Apr 5, 2018
3	Mariner independent RIA	MML Investors Services, LLC other	Overland Park,, Ks	Other	Jan 25, 2018
2	Pruco Securities, LLC BD affiliated	MML Investors Services, LLC other	Sherman Oaks, Ca +1	Other	Jan 9, 2018 over 8 d
2	Northwestern Mutual Investment Services,LLC no RAUM	MML Investors Services, LLC other	New York, Ny	Other	Dec 22, 2017
2	Mariner other	MML Investors Services, LLC other	Overland Park,, Ks	Other	Nov 16, 2017
2	Valic Financial Advisors, Inc. other	MML Investors Services, LLC other	Boca Raton, Fl +1	Other	May 12, 2017
2	Hornor, Townsend & Kent, LLC other	MML Investors Services, LLC other	Morrisville, Nc	Other	Mar 13, 2017
3	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	MML Investors Services, LLC other	Charlotte, Nc +1	Other	Feb 15, 2017 over 15 d
2	Hornor, Townsend & Kent, LLC other	MML Investors Services, LLC other	Conshohocken, Pa +1	Other	Jan 23, 2017 over 1 d
2	Park Avenue Securities LLC other	MML Investors Services, LLC other	Milford, Ct +1	Other	Dec 12, 2016
2	Northwestern Mutual Investment Services,LLC no RAUM	MML Investors Services, LLC other	Grand Rapids, Mi	Other	Sep 14, 2016
2	First Command Advisory Services other	MML Investors Services, LLC other	Fort Worth, Tx	Other	Aug 8, 2016 over 9 d
4	Mariner other	MML Investors Services, LLC other	Overland Park,, Ks	Other	Jul 28, 2016
2	Thrivent Investment Management Inc. other	MML Investors Services, LLC other	Battle Creek, Mi +1	Other	Jun 30, 2016
2	Pruco Securities, LLC other	MML Investors Services, LLC other	Irvine, Ca +1	Other	May 3, 2016 over 7 d
2	Park Avenue Securities LLC other	MML Investors Services, LLC other	Houston, Tx	Other	Mar 23, 2016 over 6 d
3	Sagepoint Financial, Inc. other	MML Investors Services, LLC other	Palm Beach Gardens, Fl +1	Other	Jan 11, 2016 over 1 d
3	Signator Investors, Inc. other	MML Investors Services, LLC other	San Juan, Pr +1	Other	Dec 31, 2015 over 13 d
2	Cambridge Investment Research Advisors, Inc. other	MML Investors Services, LLC other	Rockville, Md	Other	Sep 30, 2015 over 12 d
2	Hsbc Securities (USA) Inc. other	MML Investors Services, LLC other	Temple City, Ca	Other	May 27, 2015 over 5 d
3	New England Securities Corporation other	MML Investors Services, LLC other	Iselin, Nj +2	Other	Jan 2, 2015
2	New England Securities Corporation other	MML Investors Services, LLC other	Aurora, Il	Other	Jan 2, 2015
2	New England Securities Corporation other	MML Investors Services, LLC other	Charlotte, Nc	Other	Jan 2, 2015

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105 teams match.derived from registration dates