DFX Intelligence
Advisor teams
Teams that joined Fidelity Personal And Workplace AdvisorsWhat 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.
438 teams
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 4 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fidelity Personal And Workplace Advisors BD affiliated | Pennington, Nj +1 | Wirehouse to affiliated broker-dealer or bank | Apr 1, 2019 over 8 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fidelity Personal And Workplace Advisors BD affiliated | Riverside, Ri | Wirehouse to affiliated broker-dealer or bank | Mar 25, 2019 over 7 d |
| 2 | Morgan Stanley wirehouse | Fidelity Personal And Workplace Advisors BD affiliated | Tampa, Fl | Wirehouse to affiliated broker-dealer or bank | Mar 4, 2019 over 4 d |
| 2 | C•••••• O•• A•••••••• L•• no RAUM | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | Mclean, Va | Other | Feb 7, 2019 over 5 d |
| 2 | A••••••••• F•••••••• S•••••••• L•• national BD | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | Minneapolis, Mn | Affiliated broker-dealer or bank to another | Jan 29, 2019 over 7 d |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | West Covina, Ca +1 | Wirehouse to affiliated broker-dealer or bank | Jan 3, 2019 over 14 d |
| 3 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | Jacksonville, Fl +1 | Wirehouse to affiliated broker-dealer or bank | Nov 21, 2018 over 22 d |
| 9 | M••••• S•••••• wirehouse | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | South Jordan, Ut +1 | Wirehouse to affiliated broker-dealer or bank | Nov 19, 2018 |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | Princeton, Nj +1 | Wirehouse to affiliated broker-dealer or bank | Nov 19, 2018 over 14 d |
| 2 | T• A••••••••• I••••••••• M••••••••• L•• independent RIA | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | Denver, Co | RIA to affiliated broker-dealer or bank | Oct 23, 2018 |
| 4 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | Jacksonville, Fl +2 | Wirehouse to affiliated broker-dealer or bank | Sep 27, 2018 over 34 d |
| 2 | E••••• J•••• national BD | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | Maryland Heights, Mo +1 | Affiliated broker-dealer or bank to another | Aug 27, 2018 over 1 d |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | Santa Clara, Ca +1 | Wirehouse to affiliated broker-dealer or bank | Aug 20, 2018 over 3 d |
| 2 | C•••••• S••••• • C••• I••• national BD | F••••••• P••••••• A•• W•••••••• A••••••• no RAUM | Corte Madera, Ca +1 | Affiliated broker-dealer or bank to a newly registered adviser | Jul 26, 2018 over 7 d |
| 2 | M••••• S•••••• wirehouse | F••••••• P••••••• A•• W•••••••• A••••••• no RAUM | South Jordan, Ut | Wirehouse to a newly registered adviser (no RAUM reported yet) | Apr 18, 2018 |
| 3 | S•••••••• I••••••••• M••••••••• BD affiliated | F••••••• P••••••• A•• W•••••••• A••••••• no RAUM | Saint Louis, Mo | Affiliated broker-dealer or bank to a newly registered adviser | Mar 8, 2018 over 1 d |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | F••••••• P••••••• A•• W•••••••• A••••••• no RAUM | New York, Ny | Wirehouse to a newly registered adviser (no RAUM reported yet) | Feb 14, 2018 over 2 d |
| 3 | C••••• C••••••• L•• other | F••••••• P••••••• A•• W•••••••• A••••••• no RAUM | Denver, Co | Other | Mar 29, 2016 |
derived from registration dates
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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.