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 | Gordon Asset Management, LLC independent RIA | Summit Financial, LLC BD affiliated | Durham, Nc | RIA to affiliated broker-dealer or bank | Nov 8, 2024 over 14 d |
| 2 | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Mobile, Al | Affiliated broker-dealer or bank to another | Nov 8, 2024 |
| 2 | LPL Financial LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Madison, Wi +1 | Affiliated broker-dealer or bank to another | Nov 8, 2024 over 12 d |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | R•••••• J•••• • A••••••••• I••• national BD | Delray Beach, Fl +1 | Wirehouse to affiliated broker-dealer or bank | Nov 8, 2024 |
| 2 | E••••• J•••• national BD | L•• F•••••••• L•• BD affiliated | Houston, Tx | Affiliated broker-dealer or bank to another | Nov 8, 2024 |
| 2 | B••••••••• C•••••• M••••••••• L•• independent RIA | S••••• F••••••••• L•• BD affiliated | Stevens Point, Wi | RIA to affiliated broker-dealer or bank | Nov 8, 2024 |
| 5 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | 1••• C•••••• P••••••• no RAUM | Greensboro, Nc +1 | Affiliated broker-dealer or bank to a newly registered adviser | Nov 7, 2024 over 4 d |
| 4 | O•••• F•• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Westlake Village, Ca +2 | Affiliated broker-dealer or bank to another | Nov 7, 2024 over 11 d |
| 4 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | M••••• G••••• A••••••• I••• independent RIA | Fort Collins, Co | Affiliated broker-dealer or bank to independent RIA | Nov 7, 2024 over 1 d |
| 3 | U•• F•••••••• S••••••• I••• wirehouse | M••••• S•••••• wirehouse | Weehawken, Nj +2 | Wirehouse to wirehouse | Nov 7, 2024 over 13 d |
| 2 | L•• F•••••••• L•• BD affiliated | P•••••••• S••••••••• I••• BD affiliated | Amherst, Ny | Affiliated broker-dealer or bank to another | Nov 7, 2024 over 4 d |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | E••••• J•••• national BD | Fort Lauderdale, Fl +1 | Wirehouse to affiliated broker-dealer or bank | Nov 7, 2024 over 9 d |
| 2 | C••••• I••••••••• A••••••• L•• BD affiliated | I••••••••• F•••••••• G••••• L•• BD affiliated | Georgetown, Tx | Affiliated broker-dealer or bank to another | Nov 7, 2024 over 4 d |
| 2 | C•••••• G•••• • C• I•• BD affiliated | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | Syracuse, Ny | Affiliated broker-dealer or bank to another | Nov 7, 2024 |
| 2 | L•• F•••••••• L•• BD affiliated | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | Missouri City, Tx +1 | Affiliated broker-dealer or bank to another | Nov 7, 2024 |
| 2 | C••••••••• F•••••••• N•••••• national BD | L•• F•••••••• L•• BD affiliated | Irvine, Ca | Affiliated broker-dealer or bank to another | Nov 7, 2024 |
| 6 | O•••• W•••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Sheffield Village, Oh +1 | Affiliated broker-dealer or bank to another | Nov 6, 2024 over 5 d |
| 5 | O•••• W•••••• I••• BD affiliated | C••••••••• F•••••••• N•••••• national BD | Jericho, Ny +1 | Affiliated broker-dealer or bank to another | Nov 6, 2024 over 23 d |
| 2 | B•••••••• A•••• M••••••••• L•• independent RIA | F••••• C•••••• A•••••••• L•• independent RIA | Greenville, Sc | RIA to RIA | Nov 6, 2024 over 1 d |
| 2 | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | P•••••••• W••••• P••••••• independent RIA | Honolulu, Hi +1 | Affiliated broker-dealer or bank to independent RIA | Nov 6, 2024 |
| 2 | O•••• W•••••• I••• BD affiliated | U•• F•••••••• S••••••• I••• wirehouse | Islandia, Ny | Affiliated broker-dealer or bank to wirehouse | Nov 6, 2024 over 4 d |
| 2 | T••••• A••••••• S•••••••• I••• BD affiliated | D•••••••• • C•••••• L•• BD affiliated | Stauton, Va +1 | Affiliated broker-dealer or bank to another | Nov 6, 2024 |
| 2 | G•••• P•••• A•••••••• L•• BD affiliated | C••••• I••••••••• A••••••• L•• BD affiliated | Rockville, Md | Affiliated broker-dealer or bank to another | Nov 6, 2024 |
| 6 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | J••• M••••• S••••••••• L•• wirehouse | Palo Alto, Ca +5 | Wirehouse to wirehouse | Nov 5, 2024 over 41 d |
| 5 | A•••• P•••• A••••••• BD affiliated | A••••••• F••••••••• L••• BD affiliated | Vancouver, Wa | Affiliated broker-dealer or bank to another | Nov 5, 2024 over 2 d |
| 3 | U•• F•••••••• S••••••• I••• wirehouse | M••••• S•••••• wirehouse | Waco, Tx +1 | Wirehouse to wirehouse | Nov 5, 2024 over 15 d |
| 2 | A•••• P•••• A••••••• BD affiliated | A••••••• F••••••••• L••• BD affiliated | Portland, Or | Affiliated broker-dealer or bank to another | Nov 5, 2024 over 2 d |
| 2 | W•••• F•••• A••••••• wirehouse | R•• C•••••• M••••••• L•• national BD | Syracuse, Ny | Wirehouse to affiliated broker-dealer or bank | Nov 5, 2024 |
| 2 | O•••• W•••••• I••• BD affiliated | C••••••••• W•••••• L•• independent RIA | Hudson, Wi | Affiliated broker-dealer or bank to independent RIA | Nov 5, 2024 over 1 d |
| 2 | M••••• S•••••• wirehouse | L•• F•••••••• L•• BD affiliated | Charleston, Sc | Wirehouse to affiliated broker-dealer or bank | Nov 5, 2024 |
| 2 | J••• M••••• S••••••••• L•• wirehouse | E••••• J•••• national BD | Aubrey, Tx +1 | Wirehouse to affiliated broker-dealer or bank | Nov 5, 2024 over 12 d |
| 2 | M••••• S•••••• wirehouse | V••••••••• I••• I••• independent RIA | Beverly Hills, Ca | Wirehouse to independent RIA | Nov 5, 2024 over 13 d |
| 4 | W•••• F•••• A••••••• wirehouse | R•••••• J•••• • A••••••••• I••• national BD | Toledo, Oh +1 | Wirehouse to affiliated broker-dealer or bank | Nov 4, 2024 |
| 4 | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Fort Collins, Co | Affiliated broker-dealer or bank to another | Nov 4, 2024 over 1 d |
| 4 | I• A••••••• S•••••••• I••• BD affiliated | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | Bedminster, Nj | Affiliated broker-dealer or bank to another | Nov 4, 2024 |
| 3 | U••• B•••••• A•••••••• L•• BD affiliated | U••• B•••••• I••••••••• I••• BD affiliated | Phoenix, Az +2 | Affiliated broker-dealer or bank to another | Nov 4, 2024 |
| 3 | E••••• J•••• national BD | •••••••• independent RIA | Sumter, Sc +1 | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2024 over 4 d |
| 3 | U••• B•••••• A•••••••• L•• BD affiliated | L•• F•••••••• L•• BD affiliated | San Diego, Ca +2 | Affiliated broker-dealer or bank to another | Nov 4, 2024 over 10 d |
| 2 | A•••••• A••••••• S••••••• BD affiliated | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | Fairfield, Ia +1 | Affiliated broker-dealer or bank to another | Nov 4, 2024 |
| 2 | C•••••• G•••• • C• I•• BD affiliated | K••••• A•••••••• I••• BD affiliated | Syracuse, Ny +1 | Affiliated broker-dealer or bank to another | Nov 4, 2024 |
| 2 | I• A••••••• S•••••••• I••• BD affiliated | S••••• M••••••••• independent RIA | La Plata, Md | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2024 |
| 2 | C•••••• independent RIA | R••••••••• C•••••• M••••••••• BD affiliated | Seattle, Wa | RIA to affiliated broker-dealer or bank | Nov 4, 2024 over 2 d |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | W•••• F•••• A••••••• wirehouse | Rockledge, Fl | Wirehouse to wirehouse | Nov 4, 2024 |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | M••••• S•••••• wirehouse | Fort Lauderdale, Fl +1 | Wirehouse to wirehouse | Nov 4, 2024 |
| 3 | O•••• W•••••• I••• BD affiliated | K••••• A••••••• S•••••••• L•• BD affiliated | Tinton Falls, Nj | Affiliated broker-dealer or bank to another | Nov 2, 2024 over 2 d |
| 5 | H••••••••• G•••• E••••• • R••••••••• S••••••••• independent RIA | W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated | Scottsdale, Az +1 | RIA to affiliated broker-dealer or bank | Nov 1, 2024 |
| 5 | E•••••• F•••••••• E•••••• independent RIA | R••••• W• B•••• • C•• I••••••••• mixed wealth | Henrico, Va +2 | RIA to RIA | Nov 1, 2024 over 7 d |
| 4 | C••••• I••••••••• A••••••• L•• BD affiliated | L•• F•••••••• L•• BD affiliated | Sewickley, Pa | Affiliated broker-dealer or bank to another | Nov 1, 2024 over 6 d |
| 4 | F•••••••• D••••••••• G••••• I••• independent RIA | L•• F•••••••• L•• BD affiliated | New Brighton, Mn +2 | RIA to affiliated broker-dealer or bank | Nov 1, 2024 |
| 3 | H••••••••• G•••• E••••• • R••••••••• S••••••••• independent RIA | W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated | Brea, Ca +2 | RIA to affiliated broker-dealer or bank | Nov 1, 2024 over 11 d |
| 3 | V•••• F•••••••• A•••••••• I••• BD affiliated | K••••• A••••••• S•••••••• L•• BD affiliated | Knoxville, Tn | Affiliated broker-dealer or bank to another | Nov 1, 2024 |
| 3 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | C••••••••• I••••••••• A•••••••• L•• independent RIA | Columbus, In | Affiliated broker-dealer or bank to independent RIA | Nov 1, 2024 over 6 d |
| 3 | M••••• S•••••• wirehouse | R•• C•••••• M••••••• L•• national BD | Greenwich, Ct +1 | Wirehouse to affiliated broker-dealer or bank | Nov 1, 2024 over 10 d |
| 2 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | O••••••• independent RIA | Houston, Tx | Affiliated broker-dealer or bank to independent RIA | Nov 1, 2024 |
| 2 | H••••••••• G•••• E••••• • R••••••••• S••••••••• independent RIA | W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated | Centennial, Co | RIA to affiliated broker-dealer or bank | Nov 1, 2024 |
| 2 | H••••••••• G•••• E••••• • R••••••••• S••••••••• independent RIA | W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated | Hurst, Tx +1 | RIA to affiliated broker-dealer or bank | Nov 1, 2024 |
| 2 | O•••• W•••••• I••• BD affiliated | G••••••• W••••• M••••••••• BD affiliated | Cottage Grove, Mn | Affiliated broker-dealer or bank to another | Nov 1, 2024 |
| 2 | R•••••• J•••• • A••••••••• I••• national BD | L•••••• W••••• P••••••• no RAUM | Dublin, Oh | Affiliated broker-dealer or bank to a newly registered adviser | Nov 1, 2024 over 3 d |
| 4 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | E•••• F•••••••• P••••••• no RAUM | Clarksville, Tn | Affiliated broker-dealer or bank to a newly registered adviser | Oct 31, 2024 |
| 4 | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | S••••••••• W••••• • T•• S•••••••• no RAUM | Appleton, Wi | Affiliated broker-dealer or bank to a newly registered adviser | Oct 31, 2024 over 1 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.