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 Commonwealth Financial Network

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	Cetera Advisors LLC BD affiliated	Commonwealth Financial Network national BD	Marlton, Nj	Affiliated broker-dealer or bank to another	Jan 18, 2024 over 5 d
2	Charles Schwab & Co., Inc. national BD	Commonwealth Financial Network national BD	Lone Tree, Co	Affiliated broker-dealer or bank to another	Jan 10, 2024
2	LPL Financial LLC BD affiliated	Commonwealth Financial Network national BD	Melville, Ny +1	Affiliated broker-dealer or bank to another	Dec 20, 2023 over 2 d
5	Avantax Advisory Services BD affiliated	Commonwealth Financial Network national BD	Pittsburgh, Pa +1	Affiliated broker-dealer or bank to another	Dec 5, 2023
4	Wells Fargo Advisors wirehouse	Commonwealth Financial Network national BD	West Fargo, Nd +1	Wirehouse to affiliated broker-dealer or bank	Nov 15, 2023
2	Raymond James Financial Services Advisors, Inc BD affiliated	Commonwealth Financial Network national BD	Birmingham, Al	Affiliated broker-dealer or bank to another	Nov 7, 2023 over 3 d
2	Capital Analysts BD affiliated	Commonwealth Financial Network national BD	Harleysville, Pa +1	Affiliated broker-dealer or bank to another	Nov 1, 2023
3	Capital Analysts BD affiliated	Commonwealth Financial Network national BD	San Diego, Ca	Affiliated broker-dealer or bank to another	Oct 25, 2023
2	Osaic Fa, Inc. BD affiliated	Commonwealth Financial Network national BD	San Diego, Ca	Affiliated broker-dealer or bank to another	Oct 6, 2023
2	LPL Financial LLC BD affiliated	Commonwealth Financial Network national BD	San Diego, Ca	Affiliated broker-dealer or bank to another	Oct 5, 2023 over 14 d
3	Independent Financial Group, LLC BD affiliated	Commonwealth Financial Network national BD	San Diego, Ca +1	Affiliated broker-dealer or bank to another	Oct 4, 2023
4	Securities America Advisors, Inc. BD affiliated	Commonwealth Financial Network national BD	Omaha, Ne	Affiliated broker-dealer or bank to another	Sep 21, 2023 over 8 d
4	Fsc Securities Corporation BD affiliated	Commonwealth Financial Network national BD	Colorado Springs, Co	Affiliated broker-dealer or bank to another	Sep 11, 2023
2	Osaic Fa, Inc. BD affiliated	Commonwealth Financial Network national BD	Cincinnati, Oh	Affiliated broker-dealer or bank to another	Sep 5, 2023 over 6 d
2	Principal Securities, Inc. BD affiliated	Commonwealth Financial Network national BD	Melville, Ny	Affiliated broker-dealer or bank to another	Aug 31, 2023 over 5 d
8	LPL Financial LLC BD affiliated	Commonwealth Financial Network national BD	Asheville, Nc +3	Affiliated broker-dealer or bank to another	Aug 28, 2023 over 8 d
5	Avantax Advisory Services BD affiliated	Commonwealth Financial Network national BD	Waukesha, Wi	Affiliated broker-dealer or bank to another	Aug 22, 2023 over 14 d
2	Edward Jones national BD	Commonwealth Financial Network national BD	Santa Ana, Ca +1	Affiliated broker-dealer or bank to another	Aug 16, 2023 over 9 d
3	Principal Securities, Inc. BD affiliated	Commonwealth Financial Network national BD	New York, Ny +1	Affiliated broker-dealer or bank to another	Aug 4, 2023 over 7 d
3	Osaic Fa, Inc. BD affiliated	Commonwealth Financial Network national BD	Syracuse, Ny	Affiliated broker-dealer or bank to another	Aug 1, 2023 over 1 d
3	Citizens Securities, Inc. BD affiliated	Commonwealth Financial Network national BD	New Kensington, Pa +2	Affiliated broker-dealer or bank to another	Jul 31, 2023
3	Equitable Advisors, LLC national BD	Commonwealth Financial Network national BD	Queensbury, Ny +1	Affiliated broker-dealer or bank to another	Jun 21, 2023 over 6 d
2	LPL Financial LLC BD affiliated	Commonwealth Financial Network national BD	San Diego, Ca +1	Affiliated broker-dealer or bank to another	May 26, 2023
2	Edward Jones national BD	Commonwealth Financial Network national BD	Jamestown, Ri +1	Affiliated broker-dealer or bank to another	May 22, 2023 over 9 d
8	Securian Financial Services, Inc. independent RIA	Commonwealth Financial Network national BD	Doylestown, Pa +1	RIA to affiliated broker-dealer or bank	May 8, 2023 over 10 d
3	Principal Securities, Inc. BD affiliated	Commonwealth Financial Network national BD	Fresno, Ca	Affiliated broker-dealer or bank to another	May 8, 2023 over 14 d
3	Principal Securities, Inc. BD affiliated	Commonwealth Financial Network national BD	Melville, Ny +1	Affiliated broker-dealer or bank to another	May 8, 2023 over 3 d
2	Cambridge Investment Research Advisors, Inc. BD affiliated	Commonwealth Financial Network national BD	Elyria, Oh +1	Affiliated broker-dealer or bank to another	May 4, 2023
2	Raymond James Financial Services Advisors, Inc BD affiliated	Commonwealth Financial Network national BD	Carolina Beach, Nc	Affiliated broker-dealer or bank to another	Apr 25, 2023 over 3 d
4	Securities America Advisors, Inc. BD affiliated	Commonwealth Financial Network national BD	Omaha, Ne	Affiliated broker-dealer or bank to another	Apr 20, 2023
3	Principal Securities, Inc. BD affiliated	Commonwealth Financial Network national BD	Modesto, Ca +1	Affiliated broker-dealer or bank to another	Apr 19, 2023 over 2 d
2	Osaic Fa, Inc. BD affiliated	Commonwealth Financial Network national BD	Reston, Va	Affiliated broker-dealer or bank to another	Mar 24, 2023
2	Eagle Strategies LLC BD affiliated	Commonwealth Financial Network national BD	Bridgewater, Ma +1	Affiliated broker-dealer or bank to another	Mar 3, 2023
9	Osaic Fa, Inc. BD affiliated	Commonwealth Financial Network national BD	Jacksonville, Fl +2	Affiliated broker-dealer or bank to another	Mar 1, 2023 over 12 d
5	MML Investors Services, LLC BD affiliated	Commonwealth Financial Network national BD	Freehold, Nj	Affiliated broker-dealer or bank to another	Feb 27, 2023 over 2 d
4	Associated Investment Services, Inc. independent RIA	Commonwealth Financial Network national BD	Neenah, Wi +3	RIA to affiliated broker-dealer or bank	Feb 24, 2023 over 7 d
2	W3 Wealth Advisors, LLC state registered	Commonwealth Financial Network national BD	Beachwood, Oh +1	Other	Jan 30, 2023
4	Woodbury Financial Services, Inc. BD affiliated	Commonwealth Financial Network national BD	Yuba City, Ca	Affiliated broker-dealer or bank to another	Jan 10, 2023
3	Securian Financial Services, Inc. independent RIA	Commonwealth Financial Network national BD	Seattle, Wa	RIA to affiliated broker-dealer or bank	Dec 31, 2022
3	Securian Financial Services, Inc. independent RIA	Commonwealth Financial Network national BD	Seattle, Wa	RIA to affiliated broker-dealer or bank	Dec 7, 2022 over 1 d
2	Edward Jones national BD	Commonwealth Financial Network national BD	St Louis, Mo +1	Affiliated broker-dealer or bank to another	Dec 6, 2022
6	Edward Jones national BD	Commonwealth Financial Network national BD	Temple, Tx +2	Affiliated broker-dealer or bank to another	Nov 30, 2022 over 7 d
2	Cambridge Investment Research Advisors, Inc. BD affiliated	Commonwealth Financial Network national BD	Fishers, In	Affiliated broker-dealer or bank to another	Nov 22, 2022
2	American Portfolios Advisors, Inc BD affiliated	Commonwealth Financial Network national BD	Holbrook, Ny	Affiliated broker-dealer or bank to another	Nov 15, 2022
2	MML Investors Services, LLC BD affiliated	Commonwealth Financial Network national BD	Hauppauge, Ny	Affiliated broker-dealer or bank to another	Nov 8, 2022 over 1 d
4	Osaic Fa, Inc. BD affiliated	Commonwealth Financial Network national BD	White Bear Lake, Mn +1	Affiliated broker-dealer or bank to another	Nov 3, 2022 over 6 d
2	Wells Fargo Advisors wirehouse	Commonwealth Financial Network national BD	Holyoke, Ma	Wirehouse to affiliated broker-dealer or bank	Oct 18, 2022
2	Concourse Financial Group Advisors BD affiliated	Commonwealth Financial Network national BD	Athens, Ga	Affiliated broker-dealer or bank to another	Aug 22, 2022
5	Principal Securities, Inc. BD affiliated	Commonwealth Financial Network national BD	West Des Moines, Ia	Affiliated broker-dealer or bank to another	Aug 16, 2022 over 8 d
2	Sagespring Wealth Partners independent RIA	Commonwealth Financial Network national BD	Franklin, Tn	RIA to affiliated broker-dealer or bank	Aug 9, 2022
2	Darwin Wealth Management independent RIA	Commonwealth Financial Network national BD	Tampa, Fl	RIA to affiliated broker-dealer or bank	Aug 1, 2022
3	Arbor Point Advisors BD affiliated	Commonwealth Financial Network national BD	Santa Rosa, Ca	Affiliated broker-dealer or bank to another	Jul 25, 2022
2	Cetera Advisor Networks LLC BD affiliated	Commonwealth Financial Network national BD	West Newbury, Ma	Affiliated broker-dealer or bank to another	Jul 25, 2022 over 1 d
6	Principal Securities, Inc. BD affiliated	Commonwealth Financial Network national BD	Cedar Rapids, Ia	Affiliated broker-dealer or bank to another	Jun 22, 2022 over 6 d
2	Kestra Advisory Services, LLC BD affiliated	Commonwealth Financial Network national BD	Austin, Tx	Affiliated broker-dealer or bank to another	Jun 8, 2022
4	Kestra Advisory Services, LLC BD affiliated	Commonwealth Financial Network national BD	Tarrytown, Ny	Affiliated broker-dealer or bank to another	Jun 7, 2022 over 1 d
2	Canby Financial Advisors unclassified	Commonwealth Financial Network national BD	Framingham, Ma	Other	May 11, 2022
3	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Commonwealth Financial Network national BD	New York, Ny +1	Wirehouse to affiliated broker-dealer or bank	May 8, 2022 over 13 d
2	Wells Fargo Advisors wirehouse	Commonwealth Financial Network national BD	Hartford, Ct +1	Wirehouse to affiliated broker-dealer or bank	Apr 27, 2022
2	4rivers Wealth Management LLC unclassified	Commonwealth Financial Network national BD	Pittsburgh, Pa	Other	Apr 11, 2022

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285 teams match.derived from registration dates