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	Valic Financial Advisors, Inc. BD affiliated	Commonwealth Financial Network national BD	Kennewick, Wa	Affiliated broker-dealer or bank to another	Apr 6, 2022
2	Edward Jones national BD	Commonwealth Financial Network national BD	Omaha, Ne +1	Affiliated broker-dealer or bank to another	Apr 5, 2022
2	Wells Fargo Advisors wirehouse	Commonwealth Financial Network national BD	Woodbury, Mn +1	Wirehouse to affiliated broker-dealer or bank	Mar 31, 2022
3	LPL Financial LLC independent RIA	Commonwealth Financial Network national BD	Joliet, Il +1	RIA to affiliated broker-dealer or bank	Mar 30, 2022
2	Voya Financial Advisors, Inc. BD affiliated	Commonwealth Financial Network national BD	Fayetteville, Ny +1	Affiliated broker-dealer or bank to another	Mar 22, 2022
5	Stratos Wealth Partners, Ltd BD affiliated	Commonwealth Financial Network national BD	Aurora, Oh +2	Affiliated broker-dealer or bank to another	Mar 8, 2022 over 1 d
2	LPL Financial LLC independent RIA	Commonwealth Financial Network national BD	Morris, Il +1	RIA to affiliated broker-dealer or bank	Mar 8, 2022
2	Ameriprise Financial Services, LLC national BD	Commonwealth Financial Network national BD	Stratford, Ct	Affiliated broker-dealer or bank to another	Mar 4, 2022 over 4 d
4	Eagle Strategies LLC BD affiliated	Commonwealth Financial Network national BD	West Des Moines, Ia	Affiliated broker-dealer or bank to another	Feb 18, 2022 over 4 d
3	Securities America Advisors, Inc. BD affiliated	Commonwealth Financial Network national BD	Seattle, Wa	Affiliated broker-dealer or bank to another	Dec 21, 2021
2	MML Investors Services, LLC BD affiliated	Commonwealth Financial Network national BD	Grand Rapids, Mi	Affiliated broker-dealer or bank to another	Dec 14, 2021
2	LPL Financial LLC BD affiliated	Commonwealth Financial Network national BD	Canonsburg, Pa	Affiliated broker-dealer or bank to another	Nov 23, 2021
6	MML Investors Services, LLC BD affiliated	Commonwealth Financial Network national BD	Iselin, Nj	Affiliated broker-dealer or bank to another	Nov 17, 2021 over 1 d
4	Principal Securities, Inc. BD affiliated	Commonwealth Financial Network national BD	Adell, Wi	Affiliated broker-dealer or bank to another	Nov 10, 2021 over 6 d
2	LPL Financial LLC BD affiliated	Commonwealth Financial Network national BD	Kennewick, Wa	Affiliated broker-dealer or bank to another	Sep 20, 2021
3	Grove Point Advisors, LLC BD affiliated	Commonwealth Financial Network national BD	Rockville, Md	Affiliated broker-dealer or bank to another	Sep 9, 2021
2	MML Investors Services, LLC BD affiliated	Commonwealth Financial Network national BD	Mclean, Va	Affiliated broker-dealer or bank to another	Aug 16, 2021 over 1 d
2	MML Investors Services, LLC BD affiliated	Commonwealth Financial Network national BD	Bridgewater, Nj	Affiliated broker-dealer or bank to another	Aug 6, 2021
3	Raymond James & Associates, Inc. national BD	Commonwealth Financial Network national BD	El Paso, Tx	Affiliated broker-dealer or bank to another	Jun 22, 2021 over 2 d
3	Raymond James Financial Services Advisors, Inc BD affiliated	Commonwealth Financial Network national BD	Burlington, Nc	Affiliated broker-dealer or bank to another	Jun 16, 2021
2	Woodbury Financial Services, Inc. BD affiliated	Commonwealth Financial Network national BD	Westlake Village, Ca	Affiliated broker-dealer or bank to another	Jun 3, 2021
3	Voya Financial Advisors, Inc. BD affiliated	Commonwealth Financial Network national BD	Lacrosse, Wi	Affiliated broker-dealer or bank to another	May 18, 2021 over 1 d
2	Voya Financial Advisors, Inc. BD affiliated	Commonwealth Financial Network national BD	Richboro, Pa	Affiliated broker-dealer or bank to another	May 18, 2021
3	MML Investors Services, LLC BD affiliated	Commonwealth Financial Network national BD	Glastonbury, Ct +1	Affiliated broker-dealer or bank to another	Apr 30, 2021 over 3 d
3	Capital Analysts BD affiliated	Commonwealth Financial Network national BD	Exton, Pa	Affiliated broker-dealer or bank to another	Apr 26, 2021
2	Wells Fargo Advisors wirehouse	Commonwealth Financial Network national BD	Meriden, Ct +1	Wirehouse to affiliated broker-dealer or bank	Apr 12, 2021 over 2 d
2	Avantax Advisory Services BD affiliated	Commonwealth Financial Network national BD	Irving, Tx	Affiliated broker-dealer or bank to another	Apr 6, 2021
2	Ameriprise Financial Services, LLC national BD	Commonwealth Financial Network national BD	Janesville, Wi	Affiliated broker-dealer or bank to another	Feb 27, 2021 over 2 d
2	Waddell & Reed BD affiliated	Commonwealth Financial Network national BD	Truckee, Ca	Affiliated broker-dealer or bank to another	Feb 25, 2021
2	Ameriprise Financial Services, LLC national BD	Commonwealth Financial Network national BD	Seattle, Wa	Affiliated broker-dealer or bank to another	Feb 1, 2021
2	Sagespring Wealth Partners independent RIA	Commonwealth Financial Network national BD	Franklin, Tn	RIA to affiliated broker-dealer or bank	Dec 14, 2020
2	Advice And Planning Services BD affiliated	Commonwealth Financial Network national BD	New York, Ny +1	Affiliated broker-dealer or bank to another	Nov 13, 2020
4	UBS Financial Services Inc. wirehouse	Commonwealth Financial Network national BD	Carmel, Ca	Wirehouse to affiliated broker-dealer or bank	Nov 3, 2020
3	Edward Jones national BD	Commonwealth Financial Network national BD	Newark, Ny +2	Affiliated broker-dealer or bank to another	Oct 20, 2020 over 6 d
5	Kms Financial Services, Inc BD affiliated	Commonwealth Financial Network national BD	Bellevue, Wa +2	Affiliated broker-dealer or bank to another	Oct 1, 2020 over 14 d
3	Householder Group Estate & Retirement Specialists independent RIA	Commonwealth Financial Network national BD	Carnegie, Pa +1	RIA to affiliated broker-dealer or bank	Sep 3, 2020
2	Wells Fargo Advisors wirehouse	Commonwealth Financial Network national BD	Portland, Or	Wirehouse to affiliated broker-dealer or bank	Sep 2, 2020
3	MML Investors Services, LLC BD affiliated	Commonwealth Financial Network national BD	Needham, Ma +1	Affiliated broker-dealer or bank to another	Aug 12, 2020 over 13 d
2	MML Investors Services, LLC BD affiliated	Commonwealth Financial Network national BD	Morgantown, Wv	Affiliated broker-dealer or bank to another	Aug 4, 2020
2	MML Investors Services, LLC BD affiliated	Commonwealth Financial Network national BD	Iselin, Nj +1	Affiliated broker-dealer or bank to another	Jul 28, 2020
2	Eagle Strategies LLC BD affiliated	Commonwealth Financial Network national BD	Byron Center, Mi	Affiliated broker-dealer or bank to another	Jul 28, 2020 over 3 d
3	Equitable Advisors, LLC national BD	Commonwealth Financial Network national BD	Doylestown, Pa +1	Affiliated broker-dealer or bank to another	Jun 24, 2020 over 6 d
2	Securities America Advisors, Inc. BD affiliated	Commonwealth Financial Network national BD	Worthington, Oh	Affiliated broker-dealer or bank to another	May 27, 2020
2	Avantax Advisory Services BD affiliated	Commonwealth Financial Network national BD	Parker, Co	Affiliated broker-dealer or bank to another	May 18, 2020
2	Capital Analysts BD affiliated	Commonwealth Financial Network national BD	Matthews, Nc	Affiliated broker-dealer or bank to another	May 1, 2020
2	MML Investors Services, LLC BD affiliated	Commonwealth Financial Network national BD	Madison, Va +1	Affiliated broker-dealer or bank to another	Apr 28, 2020
2	Cambridge Investment Research Advisors, Inc. BD affiliated	Commonwealth Financial Network national BD	Pleasantville, Ny +1	Affiliated broker-dealer or bank to another	Feb 21, 2020
3	Cambridge Investment Research Advisors, Inc. BD affiliated	Commonwealth Financial Network national BD	Fishers, In	Affiliated broker-dealer or bank to another	Jan 28, 2020
2	Ameriprise Financial Services, LLC national BD	Commonwealth Financial Network national BD	Toms River, Nj	Affiliated broker-dealer or bank to another	Jan 10, 2020
2	B Riley Wealth Management BD affiliated	Commonwealth Financial Network national BD	St Louis, Mo	Affiliated broker-dealer or bank to another	Dec 13, 2019
4	Wells Fargo Advisors wirehouse	Commonwealth Financial Network national BD	Englewood, Fl +1	Wirehouse to affiliated broker-dealer or bank	Dec 4, 2019
2	Avantax Advisory Services BD affiliated	Commonwealth Financial Network national BD	Denver, Co	Affiliated broker-dealer or bank to another	Nov 20, 2019
3	MML Investors Services, LLC BD affiliated	Commonwealth Financial Network national BD	Troy, Mi	Affiliated broker-dealer or bank to another	Nov 8, 2019
2	Edward Jones national BD	Commonwealth Financial Network national BD	Westworth Village, Tx +1	Affiliated broker-dealer or bank to another	Nov 8, 2019
2	Ameriprise Financial Services, LLC national BD	Commonwealth Financial Network national BD	Yardley, Pa	Affiliated broker-dealer or bank to another	Nov 8, 2019
4	Vicus Capital, Inc. independent RIA	Commonwealth Financial Network national BD	Bethlehem, Pa	RIA to affiliated broker-dealer or bank	Oct 25, 2019
3	Wells Fargo Advisors wirehouse	Commonwealth Financial Network national BD	Syracuse, Ny	Wirehouse to affiliated broker-dealer or bank	Oct 22, 2019
3	Ameriprise Financial Services, LLC national BD	Commonwealth Financial Network national BD	Baton Rouge, La	Affiliated broker-dealer or bank to another	Oct 22, 2019 over 1 d
2	Bolton Global Asset Management BD affiliated	Commonwealth Financial Network national BD	Bolton, Ma	Affiliated broker-dealer or bank to another	Oct 14, 2019
19	Securian Financial Services, Inc. BD affiliated	Commonwealth Financial Network national BD	Plymouth Meeting, Pa +3	Affiliated broker-dealer or bank to another	Oct 7, 2019 over 2 d

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285 teams match.derived from registration dates