DFX Intelligence
Advisor teams
Advisors who moved together, newest firstWhat counts as a teamA 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.
20,241 teams
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 2 | Ic Advisory Services, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Bedminster, Nj | Affiliated broker-dealer or bank to another | Dec 16, 2024 |
| 2 | First Command Advisory Services BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Haslet, Tx +1 | Other | Dec 16, 2024 over 1 d |
| 2 | Fidelity Personal And Workplace Advisors BD affiliated | Morgan Stanley wirehouse | American Fork, Ut +1 | Affiliated broker-dealer or bank to wirehouse | Dec 16, 2024 over 3 d |
| 2 | A••••••••• F•••••••• S•••••••• L•• national BD | B••••••• F• E•••••• • C••••••• I••••••••• BD affiliated | Lake Charles, La | Affiliated broker-dealer or bank to another | Dec 16, 2024 |
| 2 | L•• F•••••••• L•• BD affiliated | W•••• F•••• A••••••• wirehouse | Alexandria, Va +1 | Affiliated broker-dealer or bank to wirehouse | Dec 16, 2024 over 4 d |
| 2 | L•• F•••••••• L•• BD affiliated | C••••••••• F•••••••• N•••••• national BD | New Brunswick, Nj | Affiliated broker-dealer or bank to another | Dec 16, 2024 over 10 d |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | C••••••• S••••••••• I••• BD affiliated | Philadelphia, Pa +1 | Wirehouse to affiliated broker-dealer or bank | Dec 16, 2024 over 1 d |
| 3 | W•••••• S••••••••• I••• BD affiliated | O••••••••• • C•• I••• BD affiliated | Los Angeles, Ca | Affiliated broker-dealer or bank to another | Dec 15, 2024 |
| 3 | I• A••••••• S•••••••• I••• BD affiliated | O•••• W•••••• I••• BD affiliated | Chester, Nj +1 | Affiliated broker-dealer or bank to another | Dec 13, 2024 |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | K••••• P•••••• W••••• S•••••••• L•• BD affiliated | Washington, Dc | Wirehouse to affiliated broker-dealer or bank | Dec 13, 2024 over 7 d |
| 12 | C••• F•••••••• S•••••••• L••• BD affiliated | C••••• I••••••••• A••••••• L•• BD affiliated | West Chester, Pa +7 | Affiliated broker-dealer or bank to another | Dec 12, 2024 |
| 7 | W•••• F•••• A••••••• wirehouse | •••••••• independent RIA | Fayetteville, Ar +1 | Wirehouse to independent RIA | Dec 12, 2024 |
| 3 | D••• D••••••• • C•• independent RIA | L•• F•••••••• L•• BD affiliated | Santa Barbara, Ca +1 | RIA to affiliated broker-dealer or bank | Dec 12, 2024 over 5 d |
| 3 | O•••• W•••••• I••• BD affiliated | C••••• I••••••••• A••••••• L•• BD affiliated | Northbrook, Il | Affiliated broker-dealer or bank to another | Dec 12, 2024 over 4 d |
| 2 | R•• C•••••• M••••••• L•• national BD | R••••• W• B•••• • C•• I••••••••• mixed wealth | Essex Fells, Nj +1 | Affiliated broker-dealer or bank to independent RIA | Dec 12, 2024 |
| 2 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | R•••••• J•••• • A••••••••• I••• national BD | Saint Petersburg, Fl +1 | Affiliated broker-dealer or bank to another | Dec 12, 2024 |
| 2 | T•• P••••••••• F•••••••• C•••••• L•• independent RIA | P••• F•••••••• A•••••••• L•• independent RIA | Orem, Ut | RIA to RIA | Dec 12, 2024 |
| 2 | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | W•••• F•••• A••••••• wirehouse | Monterey, Ca +1 | Affiliated broker-dealer or bank to wirehouse | Dec 11, 2024 over 6 d |
| 2 | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Wimberley, Tx +1 | Affiliated broker-dealer or bank to another | Dec 11, 2024 |
| 2 | A••••••••• F•••••••• S•••••••• L•• national BD | W•••• F•••• A••••••• wirehouse | Savage, Mn +1 | Affiliated broker-dealer or bank to wirehouse | Dec 11, 2024 over 5 d |
| 2 | L•• F•••••••• L•• BD affiliated | C••••• I••••••••• A••••••• L•• BD affiliated | Pinckney, Mi +1 | Affiliated broker-dealer or bank to another | Dec 11, 2024 over 5 d |
| 2 | R•••••• J•••• • A••••••••• I••• national BD | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | Woodbury, Mn +1 | Affiliated broker-dealer or bank to another | Dec 11, 2024 over 1 d |
| 2 | W••••••• I••••••••• mixed wealth | A••••••• W••••• A••••••• BD affiliated | Naples, Fl | RIA to affiliated broker-dealer or bank | Dec 11, 2024 |
| 2 | W••••••• I••••••••• mixed wealth | A••••••• W••••• A••••••• BD affiliated | Plainfield, Il +1 | RIA to affiliated broker-dealer or bank | Dec 11, 2024 |
| 2 | T• R••• P•••• A••••••• S•••••••• I••• BD affiliated | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | Owings Mills, Md | Affiliated broker-dealer or bank to wirehouse | Dec 10, 2024 over 6 d |
| 2 | F••••• I••••••••• independent RIA | A••••• A•• P••••••• S••••••• BD affiliated | Plano, Tx | RIA to affiliated broker-dealer or bank | Dec 10, 2024 over 7 d |
| 2 | M•••• W••••• M••••••••• L•• independent RIA | K••••• A••••••• S•••••••• L•• BD affiliated | Florida, Ny | RIA to affiliated broker-dealer or bank | Dec 10, 2024 |
| 2 | A• W••••• M••••••••• L•• independent RIA | A•••••••• C•••••• M••••••••• independent RIA | Greenville, Sc | RIA to RIA | Dec 10, 2024 |
| 5 | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | M•••••• BD affiliated | Seal Beach, Ca +3 | Affiliated broker-dealer or bank to another | Dec 9, 2024 over 2 d |
| 3 | R•••••• J•••• • A••••••••• I••• national BD | S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated | Winnetka, Il +1 | Affiliated broker-dealer or bank to another | Dec 9, 2024 over 2 d |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | San Jose, Ca +1 | Wirehouse to affiliated broker-dealer or bank | Dec 9, 2024 over 10 d |
| 2 | E••••• J•••• national BD | W•••• F•••• A••••••• wirehouse | St Louis, Mo | Affiliated broker-dealer or bank to wirehouse | Dec 9, 2024 over 14 d |
| 2 | C••••••• S••••••••• I••• BD affiliated | E••••• J•••• national BD | Woburn, Ma +1 | Affiliated broker-dealer or bank to another | Dec 9, 2024 over 7 d |
| 4 | L•• F•••••••• L•• BD affiliated | C••••• I••••••••• A••••••• L•• BD affiliated | Suwanee, Ga | Affiliated broker-dealer or bank to another | Dec 6, 2024 over 13 d |
| 3 | V•••• F•••••••• A•••••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Tampa, Fl | Affiliated broker-dealer or bank to another | Dec 6, 2024 |
| 3 | P•••• S••••••••• L•• BD affiliated | L•• E••••••••• L•• no RAUM | Sunnyvale, Ca +2 | Affiliated broker-dealer or bank to a newly registered adviser | Dec 6, 2024 |
| 2 | A••••••• I••••••••• P••••••• independent RIA | E•••• F•••••••• G••••• L•• independent RIA | Lancaster, Pa +1 | RIA to RIA | Dec 6, 2024 |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | W•••• F•••• A••••••• wirehouse | Boca Raton, Fl +1 | Wirehouse to wirehouse | Dec 6, 2024 over 7 d |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | K••••• P•••••• W••••• S•••••••• L•• BD affiliated | Olive Branch, Ms +1 | Wirehouse to affiliated broker-dealer or bank | Dec 6, 2024 |
| 2 | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | M•••••• BD affiliated | Franklin, Tn | Affiliated broker-dealer or bank to another | Dec 6, 2024 |
| 8 | O•••• A••••••• S•••••••• L•• BD affiliated | A••••• F•••••••• P•••••••• I••• independent RIA | Atlanta, Ga | Affiliated broker-dealer or bank to independent RIA | Dec 5, 2024 over 12 d |
| 6 | P•••• S••••••••• L•• BD affiliated | L•• E••••••••• L•• no RAUM | Newark, Nj | Affiliated broker-dealer or bank to a newly registered adviser | Dec 5, 2024 over 1 d |
| 2 | B•• F•••••••• L•• independent RIA | S••••••• C•••••• M••••••••• L•• mixed wealth | Little Rock, Ar | RIA to RIA | Dec 5, 2024 |
| 2 | M••••••• W••••• M••••••••• L•• unclassified | A• W••••• M••••••••• L•• independent RIA | Bowling Green, Ky | Other | Dec 5, 2024 over 13 d |
| 2 | O•••• W•••••• I••• BD affiliated | A••••• F•••••••• P•••••••• I••• independent RIA | Boynton Beach, Fl +1 | Affiliated broker-dealer or bank to independent RIA | Dec 5, 2024 over 10 d |
| 2 | E•••••••• A•••••••• L•• national BD | A••••••••• F•••••••• S•••••••• L•• national BD | Austin, Tx +1 | Affiliated broker-dealer or bank to another | Dec 5, 2024 over 6 d |
| 3 | D••••• P••• L•• independent RIA | F•••••• independent RIA | D•••••, Co | RIA to RIA | Dec 4, 2024 |
| 2 | O•••• W•••••• I••• BD affiliated | R••• W••••• M••••••••• independent RIA | Yuba City, Ca | Affiliated broker-dealer or bank to independent RIA | Dec 4, 2024 |
| 2 | A••••••• F•••••••• S•••••••• I••• independent RIA | W••••••••• C•••••• P•••••••• L•• independent RIA | Towson, Md | RIA to RIA | Dec 4, 2024 |
| 2 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | P••••••• W••••• A••••••• independent RIA | Mercerville, Nj +1 | Affiliated broker-dealer or bank to independent RIA | Dec 4, 2024 over 8 d |
| 2 | S•••••• W••••• P•••••••• L•• BD affiliated | L•• F•••••••• L•• BD affiliated | La Jolla, Ca | Affiliated broker-dealer or bank to another | Dec 4, 2024 |
| 2 | O•••• W•••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Kenosha, Wi | Affiliated broker-dealer or bank to another | Dec 4, 2024 |
| 2 | I••••• C•••••• L•• unclassified | F•••••• independent RIA | San Francisco, Ca | Other | Dec 4, 2024 |
| 6 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | R••••••••• C•••••• M••••••••• BD affiliated | Rogers, Ar +1 | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2024 over 2 d |
| 5 | L•• F•••••••• L•• BD affiliated | V•••••• A•••••••• L•• independent RIA | Oak Brook, Il +2 | Affiliated broker-dealer or bank to independent RIA | Dec 3, 2024 over 8 d |
| 4 | C••••• I••••••••• A••••••• L•• BD affiliated | O•••• W•••••• I••• BD affiliated | Cheektowaga, Ny +2 | Affiliated broker-dealer or bank to another | Dec 3, 2024 |
| 4 | O•••• F•• I••• BD affiliated | M•••••• BD affiliated | Sarasota, Fl | Affiliated broker-dealer or bank to another | Dec 3, 2024 over 2 d |
| 3 | C••••••••• F•••••••• N•••••• national BD | L•• F•••••••• L•• BD affiliated | Poway, Ca +2 | Affiliated broker-dealer or bank to another | Dec 3, 2024 over 6 d |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | W•••• F•••• A••••••• wirehouse | San Mateo, Ca +1 | Wirehouse to wirehouse | Dec 3, 2024 over 1 d |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | S•••••••• A••••••• L•• national BD | San Jose, Ca +1 | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2024 over 6 d |
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.