DFX Intelligence

RIA Intelligence

Advisor teams

Teams that joined Cwm, 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
3	Voya Financial Advisors, Inc. other	Cwm, LLC independent RIA	Willmar, Mn +2	Other	Jan 29, 2018
2	Geneos Wealth Management, Inc. other	Cwm, LLC independent RIA	Colorado Springs, Co	Other	Jan 12, 2018
2	Jacob William Advisory other	Cwm, LLC other	Timonium, Md	Other	Oct 3, 2017
2	L•• F•••••••• L•• other	C••• L•• other	Dodge City, Ks	Other	Sep 5, 2017
2	S•••••• W••••• M••••••••• L•• other	C••• L•• other	Barrington, Il	Other	Aug 15, 2017
2	L•• F•••••••• L•• other	C••• L•• other	Bentonville, Ar	Other	May 12, 2017 over 4 d
2	L•• F•••••••• L•• other	C••• L•• other	Houston, Tx	Other	Dec 23, 2016
2	L•• F•••••••• L•• other	C••• L•• other	Ferndale, Wa +1	Other	Sep 7, 2016 over 1 d
2	W•••••• W••••• M••••••••• L•• other	C••• L•• other	Loveland, Co +1	Other	May 27, 2016
2	S•••••••• W••••• A••••••• G•••• other	C••• L•• other	San Mateo, Ca +1	Other	Mar 31, 2016
2	U••• F•••••••• A••••••• other	C••• L•• other	Wilmington, De	Other	Jan 28, 2016
2	L•• F•••••••• L•• other	C••• L•• other	Vancouver, Wa +1	Other	Jan 14, 2016
2	P•••••• A•••••• G••••• L•• other	C••• L•• other	Morristown, Nj	Other	Jun 12, 2015

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73 teams match.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.