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 | Osaic Institutions, Inc. BD affiliated | Janney Montgomery Scott LLC BD affiliated | Niantic, Ct +1 | Affiliated broker-dealer or bank to another | Nov 20, 2024 |
| 10 | Ameriprise Financial Services, LLC national BD | Steward Partners Investment Advisory, LLC BD affiliated | Pompton Plains, Nj +7 | Affiliated broker-dealer or bank to another | Nov 19, 2024 over 6 d |
| 4 | Florida Financial Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Atlanta, Ga | Affiliated broker-dealer or bank to wirehouse | Nov 19, 2024 over 13 d |
| 3 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | A••••••••• F•••••••• S•••••••• L•• national BD | Indianapolis, In | Affiliated broker-dealer or bank to another | Nov 19, 2024 over 6 d |
| 3 | I• A••••••• S•••••••• I••• BD affiliated | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | Bedminster, Nj | Affiliated broker-dealer or bank to another | Nov 19, 2024 over 2 d |
| 2 | E•••• S••••••••• L•• BD affiliated | P••• A••••• S••••••••• L•• BD affiliated | San Antonio, Tx +1 | Affiliated broker-dealer or bank to another | Nov 19, 2024 over 7 d |
| 2 | I• A••••••• S•••••••• I••• BD affiliated | K••••• A•••••••• I••• BD affiliated | Sarasota, Fl | Affiliated broker-dealer or bank to another | Nov 19, 2024 |
| 2 | E••••• J•••• national BD | A••••••••• F•••••••• S•••••••• L•• national BD | Richmond, Tx +1 | Affiliated broker-dealer or bank to another | Nov 19, 2024 over 14 d |
| 2 | E••••• J•••• national BD | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | St Louis, Mo +1 | Affiliated broker-dealer or bank to wirehouse | Nov 19, 2024 over 6 d |
| 2 | T••••• A••••••• S•••••••• I••• BD affiliated | S•••••••• A•••••••• L•• BD affiliated | Coral Gables, Fl | Affiliated broker-dealer or bank to another | Nov 19, 2024 |
| 2 | R••••• W• B•••• • C•• I••••••••• mixed wealth | J••••• M••••••••• S•••• L•• BD affiliated | Charlotte, Nc | RIA to affiliated broker-dealer or bank | Nov 18, 2024 |
| 2 | F•••••• F•••••••• A•••••••• L•• BD affiliated | J••• M••••• S••••••••• L•• wirehouse | Philadelphia, Pa | Affiliated broker-dealer or bank to wirehouse | Nov 18, 2024 over 14 d |
| 2 | U••• B•••••• I••••••••• I••• BD affiliated | E••••• J•••• national BD | Mount Vernon, Il +1 | Affiliated broker-dealer or bank to another | Nov 18, 2024 |
| 2 | I••••••••• W••••• S••••••• unclassified | I••••••••• W••••• S••••••• independent RIA | Brea, Ca | Other | Nov 16, 2024 |
| 6 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | M••••• S•••••• wirehouse | Bloomfield Hills, Mi | Wirehouse to wirehouse | Nov 15, 2024 |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | J••••• M••••••••• S•••• L•• BD affiliated | Warren, Nj +1 | Wirehouse to affiliated broker-dealer or bank | Nov 15, 2024 |
| 2 | L••• S••••• A•••••••• L•• BD affiliated | A••••••••• R••••••••• independent RIA | Austin, Tx | Affiliated broker-dealer or bank to independent RIA | Nov 15, 2024 |
| 2 | N••••••• F•••••••• L•• state registered | S••••••• W••••• M••••••••• L•• state registered | Laguna Niguel, Ca | Other | Nov 15, 2024 |
| 2 | O•••• W•••••• I••• BD affiliated | C••••••••• F•••••••• N•••••• national BD | Charlotte, Nc | Affiliated broker-dealer or bank to another | Nov 15, 2024 |
| 2 | L•• F•••••••• L•• BD affiliated | R•••••• J•••• • A••••••••• I••• national BD | Burbank, Ca +1 | Affiliated broker-dealer or bank to another | Nov 15, 2024 |
| 4 | O•••• W•••••• I••• BD affiliated | C••••••••• F•••••••• N•••••• national BD | Toledo, Oh +1 | Affiliated broker-dealer or bank to another | Nov 14, 2024 over 5 d |
| 2 | L••••••• W••••• M••••••••• G•••• independent RIA | B••••• P••••• A•••••••• L•• independent RIA | San Jose, Ca | RIA to RIA | Nov 14, 2024 |
| 2 | O•••• F•• I••• BD affiliated | H•••••• T••••••• • K•••• L•• BD affiliated | Overland Park, Ks | Affiliated broker-dealer or bank to another | Nov 14, 2024 |
| 2 | O•••• W•••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Holland, Mi | Affiliated broker-dealer or bank to another | Nov 14, 2024 |
| 2 | B••••••••• S•••••••• W•••••• L•• independent RIA | F•••• A•••••• S••••••••• L•• independent RIA | St Louis, Mo | RIA to RIA | Nov 14, 2024 |
| 2 | W••••• W••••• P••••••• L•• independent RIA | W••••••••• A••••••• independent RIA | Beachwood, Oh +1 | RIA to RIA | Nov 14, 2024 |
| 5 | W•••• F•••• A••••••• wirehouse | L•• F•••••••• L•• BD affiliated | Boise, Id | Wirehouse to affiliated broker-dealer or bank | Nov 13, 2024 |
| 3 | O•••• W•••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Cleveland, Ms | Affiliated broker-dealer or bank to another | Nov 13, 2024 over 10 d |
| 3 | S••••• F••••••••• L•• BD affiliated | F•••••• independent RIA | Charleston, Sc +1 | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2024 |
| 3 | B• R•••• W••••• A•••••••• I••• BD affiliated | R••••• W• B•••• • C•• I••••••••• mixed wealth | Franklin, Tn | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2024 |
| 2 | L•• F•••••••• L•• BD affiliated | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | Fair Oaks, Ca | Affiliated broker-dealer or bank to another | Nov 13, 2024 |
| 2 | V••••••• A•••••••• I••• BD affiliated | D••••••••• F••• A••••••• L• asset manager | Charlotte, Nc | Other | Nov 13, 2024 over 13 d |
| 2 | S•••• I••••••••• M••••••••• I••• other | N••••••• M•••••• C•••••• L•• state registered | Gig Harbor, Wa | Other | Nov 13, 2024 |
| 2 | W•••• F•••• A••••••• wirehouse | S••••• W••••• M••••••••• G•••• no RAUM | La Jolla, Ca | Wirehouse to a newly registered adviser (no RAUM reported yet) | Nov 13, 2024 |
| 2 | W•••• F•••• A••••••• wirehouse | •••••••• independent RIA | Mclean, Va +1 | Wirehouse to independent RIA | Nov 13, 2024 |
| 2 | O•••• W•••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Franklin Lakes, Nj | Affiliated broker-dealer or bank to another | Nov 13, 2024 |
| 2 | R•• C•••••• M••••••• L•• national BD | A•••••• W••••• M••••••••• L•• independent RIA | Austin, Tx +1 | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2024 over 8 d |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | J••• M••••• S••••••••• L•• wirehouse | Frisco, Tx +1 | Wirehouse to wirehouse | Nov 13, 2024 over 9 d |
| 2 | J••• M••••• S••••••••• L•• wirehouse | L•• F•••••••• L•• BD affiliated | Los Angeles, Ca +1 | Wirehouse to affiliated broker-dealer or bank | Nov 13, 2024 over 1 d |
| 5 | M••••• S•••••• wirehouse | R•• C•••••• M••••••• L•• national BD | Lutherville, Md | Wirehouse to affiliated broker-dealer or bank | Nov 12, 2024 |
| 2 | M••••• S•••••• wirehouse | B•• P•••••• A•••• M••••••••• U• • L•• asset manager | New York, Ny | Other | Nov 12, 2024 over 1 d |
| 2 | E••••• J•••• national BD | W•••• F•••• A••••••• wirehouse | Cedar Park, Tx +1 | Affiliated broker-dealer or bank to wirehouse | Nov 12, 2024 over 2 d |
| 2 | I• A••••••• S•••••••• I••• BD affiliated | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | Fountainville, Pa | Affiliated broker-dealer or bank to another | Nov 12, 2024 |
| 2 | D•••••••• A••••••• S•••••••• L•• BD affiliated | S••••• G••••• I••••••••• L•• mixed wealth | Thatcher, Az | Affiliated broker-dealer or bank to independent RIA | Nov 12, 2024 |
| 2 | D•••••••• A••••••• S•••••••• L•• BD affiliated | S••••• G••••• I••••••••• L•• mixed wealth | Lehi, Ut +1 | Affiliated broker-dealer or bank to independent RIA | Nov 12, 2024 |
| 7 | W•••• F•••• A••••••• wirehouse | I•• A••••••• L•• no RAUM | Los Angeles, Ca +2 | Wirehouse to a newly registered adviser (no RAUM reported yet) | Nov 11, 2024 over 14 d |
| 3 | R•••••• J•••• • A••••••••• I••• national BD | J••••• M••••••••• S•••• L•• BD affiliated | Cincinnati, Oh | Affiliated broker-dealer or bank to another | Nov 11, 2024 |
| 3 | H•••••• T••••••• • K•••• L•• BD affiliated | O•••• W•••••• I••• BD affiliated | Pittsburgh, Pa | Affiliated broker-dealer or bank to another | Nov 11, 2024 |
| 3 | J••••• M••••••••• S•••• L•• BD affiliated | R••••• W• B•••• • C•• I••••••••• mixed wealth | Franklin, Tn | Affiliated broker-dealer or bank to independent RIA | Nov 11, 2024 |
| 2 | M•• I•••••••• S•••••••• L•• BD affiliated | H•••••• T••••••• • K•••• L•• BD affiliated | Fredericksburg, Va | Affiliated broker-dealer or bank to another | Nov 11, 2024 |
| 2 | O•••• A••••••• S•••••••• L•• BD affiliated | V•••••• A•••••••• L•• independent RIA | South Barrington, Il | Affiliated broker-dealer or bank to independent RIA | Nov 11, 2024 over 1 d |
| 2 | C•••••••• F••••••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Glendale, Az | Affiliated broker-dealer or bank to another | Nov 11, 2024 over 1 d |
| 2 | D••••••• C•••••• L•• unclassified | P••• A••••• S••••••••• L•• BD affiliated | San Antonio, Tx | Other | Nov 9, 2024 |
| 7 | O•••• A••••••• S•••••••• L•• BD affiliated | V•••••• A•••••••• L•• independent RIA | Atlanta, Ga | Affiliated broker-dealer or bank to independent RIA | Nov 8, 2024 over 13 d |
| 6 | E••• B••••• A•••••••• L•• independent RIA | S•••••• F•••••••• G••••• L••••• independent RIA | Sioux Falls, Sd | RIA to RIA | Nov 8, 2024 over 7 d |
| 4 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | R•••••• J•••• • A••••••••• I••• national BD | Pepper Pike, Oh +1 | Wirehouse to affiliated broker-dealer or bank | Nov 8, 2024 over 5 d |
| 4 | O•••• W•••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Littleton, Co +2 | Affiliated broker-dealer or bank to another | Nov 8, 2024 over 13 d |
| 3 | G•• S••••••••• I••• BD affiliated | P••••••••• S••••••••• C••••••••• independent RIA | Palm Beach Gardens, Fl | Affiliated broker-dealer or bank to independent RIA | Nov 8, 2024 |
| 3 | A•••• P•••• A••••••• BD affiliated | E•••••• G•••• no RAUM | Boise, Id | Affiliated broker-dealer or bank to a newly registered adviser | Nov 8, 2024 |
| 2 | H••••••••• C•••••• M••••••••• L•• unclassified | M•••••• W••••• M••••••••• independent RIA | Marfa, Tx | Other | Nov 8, 2024 |
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.