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.
20,265 teams
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 2 | Global Retirement Partners LLC institutional | Cambridge Investment Research Advisors, Inc. BD affiliated | San Rafael, Ca | Other | May 3, 2024 over 14 d |
| 2 | Osaic Fa, Inc. BD affiliated | LPL Financial LLC BD affiliated | Poughkeepsie, Ny | Affiliated broker-dealer or bank to another | May 3, 2024 |
| 2 | Osaic Fa, Inc. BD affiliated | Commonwealth Financial Network national BD | Solon, Oh | Affiliated broker-dealer or bank to another | May 3, 2024 |
| 2 | G•••• P•••• A•••••••• L•• BD affiliated | I••••••••• F•••••••• P••••••• BD affiliated | Rockville, Md | Affiliated broker-dealer or bank to another | May 3, 2024 |
| 7 | C••••••••• F•••••••• N•••••• national BD | K••••• A••••••• S•••••••• L•• BD affiliated | Tucson, Az +2 | Affiliated broker-dealer or bank to another | May 2, 2024 over 7 d |
| 5 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | W•••• F•••• A••••••• wirehouse | Boca Raton, Fl +4 | Wirehouse to wirehouse | May 2, 2024 over 28 d |
| 4 | W••••••• I••••••••• mixed wealth | O••••••••• institutional | Chicago, Il | Other | May 2, 2024 |
| 4 | M••••• S•••••• wirehouse | U•• F•••••••• S••••••• I••• wirehouse | New York, Ny +1 | Wirehouse to wirehouse | May 2, 2024 over 1 d |
| 4 | F•••• F•••••••• independent RIA | O•••• W•••••• I••• BD affiliated | Minneapolis, Mn +1 | RIA to affiliated broker-dealer or bank | May 2, 2024 |
| 3 | C••••• I••••••••• A••••••• L•• BD affiliated | L•• F•••••••• L•• BD affiliated | Irvine, Ca +1 | Affiliated broker-dealer or bank to another | May 2, 2024 over 7 d |
| 3 | F•••• F•••••••• independent RIA | L•• F•••••••• L•• BD affiliated | Minneapolis, Mn +1 | RIA to affiliated broker-dealer or bank | May 2, 2024 |
| 2 | O•••• F•• I••• BD affiliated | T••••••••• R••••••••• A•••••••• L•• BD affiliated | Fort Wayne, In | Affiliated broker-dealer or bank to another | May 2, 2024 over 6 d |
| 2 | K••••• A••••••• S•••••••• L•• BD affiliated | L•• F•••••••• L•• BD affiliated | Austin, Tx | Affiliated broker-dealer or bank to another | May 2, 2024 |
| 2 | C••••••••• F•••••••• N•••••• national BD | U•• F•••••••• S••••••• I••• wirehouse | Islandia, Ny | Affiliated broker-dealer or bank to wirehouse | May 2, 2024 |
| 2 | K••••• A••••••• S•••••••• L•• BD affiliated | L•• F•••••••• L•• BD affiliated | Chandler, Az | Affiliated broker-dealer or bank to another | May 2, 2024 |
| 2 | O•••• W•••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Scottsdale, Az | Affiliated broker-dealer or bank to another | May 2, 2024 over 12 d |
| 4 | R•••••• J•••• • A••••••••• I••• national BD | N•••••• A••••••• BD affiliated | St Louis, Mo | Affiliated broker-dealer or bank to another | May 1, 2024 |
| 2 | A•••• P•••• A••••••• BD affiliated | C••••• M•••••• independent RIA | Overland Park, Ks | Affiliated broker-dealer or bank to independent RIA | May 1, 2024 |
| 2 | C•••••• G•••• • C• I•• BD affiliated | C••••••• F•••••••• D••••••• I••• BD affiliated | Kirkville, Ny +1 | Affiliated broker-dealer or bank to another | May 1, 2024 |
| 2 | B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Lincoln, Ne | Affiliated broker-dealer or bank to another | May 1, 2024 over 6 d |
| 2 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | W••••• E••••••••• A••••••• S•••••••• L•• independent RIA | Columbia, Md +1 | Affiliated broker-dealer or bank to independent RIA | May 1, 2024 |
| 2 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | L•• F•••••••• L•• BD affiliated | Bellevue, Wa | Affiliated broker-dealer or bank to another | May 1, 2024 |
| 2 | W•••• F•••• A••••••• wirehouse | J••• M••••• S••••••••• L•• wirehouse | Washington, Dc | Wirehouse to wirehouse | May 1, 2024 over 14 d |
| 2 | A••••••• W••••• A••••••• BD affiliated | H•••• I••••••••• W••••• no RAUM | Kennett Square, Pa | Affiliated broker-dealer or bank to a newly registered adviser | May 1, 2024 |
| 2 | G•••• M••••• W••••• M••••••••• state registered | R• • R• F•••••••• state registered | Temecula, Ca | Other | May 1, 2024 over 12 d |
| 2 | R•••••• J•••• • A••••••••• I••• national BD | N•••••• A••••••• BD affiliated | Atlanta, Ga | Affiliated broker-dealer or bank to another | May 1, 2024 over 1 d |
| 2 | J••• M••••• S••••••••• L•• wirehouse | W•••••• W••••• no RAUM | Chicago, Il | Wirehouse to a newly registered adviser (no RAUM reported yet) | May 1, 2024 |
| 2 | C••••••••• F•••••••• N•••••• national BD | B•••• P•••• W••••• M••••••••• no RAUM | Naples, Fl | Affiliated broker-dealer or bank to a newly registered adviser | May 1, 2024 |
| 7 | M••••• S•••••• wirehouse | R•••••• J•••• • A••••••••• I••• national BD | Miami, Fl +2 | Wirehouse to affiliated broker-dealer or bank | Apr 30, 2024 over 15 d |
| 5 | W•••• F•••• A••••••• wirehouse | •••••••• independent RIA | Ann Arbor, Mi | Wirehouse to independent RIA | Apr 30, 2024 over 1 d |
| 3 | W•••• F•••• A••••••• wirehouse | •••••••• independent RIA | Dubois, Pa +1 | Wirehouse to independent RIA | Apr 30, 2024 over 1 d |
| 3 | E•••••• A••••••• G••••• L•• BD affiliated | F••••• I••••••••• independent RIA | Greenwood Village, Co | Affiliated broker-dealer or bank to independent RIA | Apr 30, 2024 over 14 d |
| 3 | M••••• S•••••• wirehouse | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | Tampa, Fl +1 | Wirehouse to wirehouse | Apr 30, 2024 over 16 d |
| 2 | R••••• W• B•••• • C•• I••••••••• mixed wealth | J••••• M••••••••• S•••• L•• BD affiliated | Charlotte, Nc | RIA to affiliated broker-dealer or bank | Apr 30, 2024 |
| 2 | M••••• S•••••• wirehouse | U•• F•••••••• S••••••• I••• wirehouse | Santa Monica, Ca | Wirehouse to wirehouse | Apr 30, 2024 |
| 2 | W•••• F•••• A••••••• wirehouse | M••••• S•••••• wirehouse | Kure Beach, Nc +1 | Wirehouse to wirehouse | Apr 30, 2024 over 1 d |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | E••••• J•••• national BD | Vienna, Va +1 | Wirehouse to affiliated broker-dealer or bank | Apr 29, 2024 over 14 d |
| 2 | M•• I•••••••• S•••••••• L•• BD affiliated | P••• A••••• S••••••••• L•• BD affiliated | Overland P•••, Ks | Affiliated broker-dealer or bank to another | Apr 29, 2024 |
| 2 | R•••••• C•••••• M••••••••• L•• unclassified | A• W••••• M••••••••• L•• independent RIA | Dayton, Oh | Other | Apr 29, 2024 |
| 2 | W•••• F•••• A••••••• wirehouse | R•••••• J•••• • A••••••••• I••• national BD | West Bloomfield, Mi +1 | Wirehouse to affiliated broker-dealer or bank | Apr 29, 2024 |
| 2 | H••••• A•••• M••••••••• L•• unclassified | O•••• W•••••• I••• BD affiliated | The Woodlands, Tx | Other | Apr 29, 2024 |
| 2 | L•• F•••••••• L•• BD affiliated | G•••••••• F•••••••• P••••••• state registered | Williston, Vt +1 | Affiliated broker-dealer or bank to a state-registered adviser | Apr 29, 2024 |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | J••• M••••• S••••••••• L•• wirehouse | Columbus, Oh +1 | Wirehouse to wirehouse | Apr 29, 2024 over 7 d |
| 5 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | C••••••• S••••••••• I••• BD affiliated | New York, Ny +1 | Wirehouse to affiliated broker-dealer or bank | Apr 26, 2024 over 33 d |
| 4 | S••••••••• A•••••• A•••••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | San Diego, Ca +1 | Affiliated broker-dealer or bank to another | Apr 26, 2024 over 3 d |
| 4 | L•• F•••••••• L•• BD affiliated | W•••• F•••• A••••••• wirehouse | Auburn, Ca +3 | Affiliated broker-dealer or bank to wirehouse | Apr 26, 2024 over 3 d |
| 2 | W•••• F•••• A••••••• wirehouse | •••••••• independent RIA | Carbondale, Il +1 | Wirehouse to independent RIA | Apr 26, 2024 over 13 d |
| 2 | E•••••••• A•••••••• L•• national BD | J••• M••••• S••••••••• L•• wirehouse | New York, Ny | Affiliated broker-dealer or bank to wirehouse | Apr 26, 2024 over 4 d |
| 2 | S•••••• N••••••• • C••••••• I••••••••• national BD | A••••••••• F•••••••• S•••••••• L•• national BD | Monterey, Ca | Affiliated broker-dealer or bank to another | Apr 26, 2024 over 13 d |
| 2 | T••••• A••••••• S•••••••• I••• BD affiliated | F•••• T•••• W••••• A••••••• L•• bank affiliated | Dallas, Tx | Other | Apr 26, 2024 over 14 d |
| 2 | W•••• F•••• A••••••• wirehouse | E••••• J•••• national BD | St Louis, Mo | Wirehouse to affiliated broker-dealer or bank | Apr 26, 2024 over 4 d |
| 5 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | C••••••••• I••••••••• A•••••••• L•• independent RIA | Chandler, Az +1 | Affiliated broker-dealer or bank to independent RIA | Apr 25, 2024 over 1 d |
| 4 | W•••• F•••• A••••••• wirehouse | •••••••• independent RIA | Columbia, Sc +1 | Wirehouse to independent RIA | Apr 25, 2024 |
| 3 | A••••••••• F•••••••• S•••••••• L•• national BD | L•• F•••••••• L•• BD affiliated | Bloomfield Hills, Mi +1 | Affiliated broker-dealer or bank to another | Apr 25, 2024 over 12 d |
| 2 | O•••• F•• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Ironton, Oh | Affiliated broker-dealer or bank to another | Apr 25, 2024 |
| 2 | R•• C•••••• M••••••• L•• national BD | S•••••• N••••••• • C••••••• I••••••••• national BD | Conshocken, Pa +1 | Affiliated broker-dealer or bank to another | Apr 25, 2024 over 1 d |
| 2 | H•••••••• F•••••••• A••••••• S••••••••• F•••••••• A••••••• no RAUM | W•••••• A•••••••• L•• independent RIA | Saint Petersburg, Fl | Other | Apr 25, 2024 |
| 6 | M•• I•••••••• S•••••••• L•• BD affiliated | L•• F•••••••• L•• BD affiliated | Hunt Valley, Md +1 | Affiliated broker-dealer or bank to another | Apr 24, 2024 |
| 4 | O•••• F•• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Plano, Tx +2 | Affiliated broker-dealer or bank to another | Apr 24, 2024 over 6 d |
| 3 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | M••••• S•••••• wirehouse | Austin, Tx +1 | Wirehouse to wirehouse | Apr 24, 2024 over 13 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.