Teams that joined Wells Fargo Advisors
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 | LPL Financial LLC other | Wells Fargo Advisors wirehouse | Pleasant Valley, Ny +2 | Other | Jun 15, 2016 |
| 2 | Oppenheimer & Co. Inc. other | Wells Fargo Advisors wirehouse | Saddle Brook, Nj | Other | Jun 1, 2016 |
| 2 | Morgan Stanley wirehouse | Wells Fargo Advisors wirehouse | Canandaigua, Ny +1 | Wirehouse to wirehouse | May 31, 2016 |
| 2 | L•• F•••••••• L•• other | W•••• F•••• A••••••• wirehouse | Red Bank, Nj +1 | Other | May 17, 2016 |
| 9 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | W•••• F•••• A••••••• wirehouse | Newport Beach, Ca +3 | Wirehouse to wirehouse | May 10, 2016 over 30 d |
| 3 | E••••• J•••• national BD | W•••• F•••• A••••••• wirehouse | Aledo, Tx +2 | Affiliated broker-dealer or bank to wirehouse | Apr 18, 2016 |
| 5 | U•• F•••••••• S••••••• I••• wirehouse | W•••• F•••• A••••••• wirehouse | Mt Pleasant, Sc +1 | Wirehouse to wirehouse | Apr 4, 2016 |
| 3 | M••••• S•••••• wirehouse | W•••• F•••• A••••••• wirehouse | Minneapolis, Mn | Wirehouse to wirehouse | Apr 4, 2016 over 7 d |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | W•••• F•••• A••••••• wirehouse | Charlottesville, Va | Wirehouse to wirehouse | Mar 18, 2016 |
| 3 | M••••• S•••••• wirehouse | W•••• F•••• A••••••• wirehouse | Boulder, Co | Wirehouse to wirehouse | Feb 22, 2016 over 7 d |
| 2 | E••••• J•••• national BD | W•••• F•••• A••••••• wirehouse | Cleburne, Tx +1 | Affiliated broker-dealer or bank to wirehouse | Jan 5, 2016 |
| 4 | J••••• M••••••••• S•••• L•• other | W•••• F•••• A••••••• wirehouse | Margate, Nj | Other | Nov 10, 2015 |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | W•••• F•••• A••••••• wirehouse | Orange, Ca | Wirehouse to wirehouse | Oct 23, 2015 over 3 d |
| 3 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• other | W•••• F•••• A••••••• wirehouse | Hingham, Ma | Other | Oct 5, 2015 |
| 2 | T•••• A•••••••• L•• other | W•••• F•••• A••••••• wirehouse | Redondo Beach, Ca | Other | Sep 14, 2015 |
| 2 | M••••• S•••••• wirehouse | W•••• F•••• A••••••• wirehouse | Roseville, Ca | Wirehouse to wirehouse | Sep 9, 2015 |
| 3 | M••••• S•••••• wirehouse | W•••• F•••• A••••••• wirehouse | Venice, Fl | Wirehouse to wirehouse | Jul 31, 2015 over 5 d |
| 5 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | W•••• F•••• A••••••• wirehouse | Baltimore, Md +1 | Wirehouse to wirehouse | Jun 8, 2015 over 2 d |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | W•••• F•••• A••••••• wirehouse | Birmingham, Al | Wirehouse to wirehouse | Jun 2, 2015 |
| 3 | M••••• S•••••• wirehouse | W•••• F•••• A••••••• wirehouse | Williamsville, Ny | Wirehouse to wirehouse | May 28, 2015 |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | W•••• F•••• A••••••• wirehouse | Honolulu, Hi | Wirehouse to wirehouse | May 11, 2015 over 2 d |
| 2 | R•••••• J•••• • A••••••••• I••• national BD | W•••• F•••• A••••••• wirehouse | Greenville, Sc | Affiliated broker-dealer or bank to wirehouse | May 6, 2015 over 12 d |
| 4 | M••••• S•••••• wirehouse | W•••• F•••• A••••••• wirehouse | Lake Oswego, Or | Wirehouse to wirehouse | Apr 27, 2015 over 3 d |
| 2 | F•••• T•••• S••••••••• I••• other | W•••• F•••• A••••••• wirehouse | Terre Haute, In +1 | Other | Mar 20, 2015 |
| 2 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• other | W•••• F•••• A••••••• wirehouse | Harrisburg, Il +1 | Other | Mar 2, 2015 |
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.