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 | UBS Financial Services Inc. wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | San Juan, Pr | Wirehouse to affiliated broker-dealer or bank | Apr 24, 2024 over 1 d |
| 2 | Fourth Street Performance Partners, Inc. other | Mariner Institutional, LLC institutional | Covington, Ky | Other | Apr 24, 2024 |
| 3 | Wells Fargo Advisors wirehouse | Stifel, Nicolaus & Company, Incorporated national BD | Omaha, Ne | Wirehouse to affiliated broker-dealer or bank | Apr 23, 2024 |
| 2 | A•••• P•••••• W••••• M••••••••• L•• independent RIA | G•••••••• L•• independent RIA | Albany, Ny | RIA to RIA | Apr 23, 2024 |
| 2 | R•• A•••••••• L•• independent RIA | P•••••• A•••••• G••••• L•• BD affiliated | Woodbury, Tn | RIA to affiliated broker-dealer or bank | Apr 23, 2024 |
| 2 | A••••••••• F•••••••• S•••••••• L•• national BD | O•••• W•••••• I••• BD affiliated | Bangor, Me | Affiliated broker-dealer or bank to another | Apr 23, 2024 |
| 2 | L•• F•••••••• L•• BD affiliated | P••••••• F•••••••• S•••••••• I••• BD affiliated | Peoria, Il | Affiliated broker-dealer or bank to another | Apr 23, 2024 |
| 2 | C•••••••• G••••• M•••••• I••• BD affiliated | I•• C••••••• L•• independent RIA | Greenwich, Ct | Affiliated broker-dealer or bank to independent RIA | Apr 23, 2024 |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | J••••• M••••••••• S•••• L•• BD affiliated | New York, Ny | Wirehouse to affiliated broker-dealer or bank | Apr 23, 2024 over 3 d |
| 11 | J••• M••••• P•••••• W••••• A••••••• L•• BD affiliated | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | Jupiter, Fl | Affiliated broker-dealer or bank to wirehouse | Apr 22, 2024 over 1 d |
| 8 | J••• M••••• P•••••• W••••• A••••••• L•• BD affiliated | C•••••• A•••• M••••••••• L•• independent RIA | San Francisco, Ca | Affiliated broker-dealer or bank to independent RIA | Apr 22, 2024 |
| 7 | J••• M••••• P•••••• W••••• A••••••• L•• BD affiliated | C••••••• P•••••• W••••• independent RIA | San Francisco, Ca +1 | Affiliated broker-dealer or bank to independent RIA | Apr 22, 2024 |
| 2 | M••••• S•••••• wirehouse | E••••• J•••• national BD | Potomac, Md +1 | Wirehouse to affiliated broker-dealer or bank | Apr 22, 2024 over 8 d |
| 2 | B•••• T•••• W••••• M••••••••• L•• mixed wealth | P••••••• W••••• G••••• L•• independent RIA | Mountain View, Ca +1 | RIA to RIA | Apr 22, 2024 |
| 2 | J••• M••••• P•••••• W••••• A••••••• L•• BD affiliated | M••••• S•••••• wirehouse | San Francisco, Ca | Affiliated broker-dealer or bank to wirehouse | Apr 22, 2024 |
| 2 | L••••••• C•••••• I••• independent RIA | L•• F•••••••• L•• BD affiliated | Oak Brook, Il | RIA to affiliated broker-dealer or bank | Apr 22, 2024 |
| 2 | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | I••••••••• S•••••••• W••••• M••••••••• L•• independent RIA | Rochester, Ny | Affiliated broker-dealer or bank to independent RIA | Apr 22, 2024 |
| 9 | J••• M••••• S••••••••• L•• wirehouse | W•••• F•••• A••••••• wirehouse | Palm Beach Gardens, Fl | Wirehouse to wirehouse | Apr 20, 2024 over 5 d |
| 8 | J••• M••••• S••••••••• L•• wirehouse | C•••••• A•••• M••••••••• L•• independent RIA | San Francisco, Ca | Wirehouse to independent RIA | Apr 20, 2024 |
| 7 | J••• M••••• S••••••••• L•• wirehouse | C••••••• P•••••• W••••• independent RIA | San Francisco, Ca +1 | Wirehouse to independent RIA | Apr 20, 2024 |
| 7 | J••• M••••• S••••••••• L•• wirehouse | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | Jupiter, Fl | Wirehouse to wirehouse | Apr 20, 2024 over 2 d |
| 3 | J••• M••••• S••••••••• L•• wirehouse | M••••• S•••••• wirehouse | San Francisco, Ca | Wirehouse to wirehouse | Apr 20, 2024 over 11 d |
| 11 | C•••••••• G••••• M•••••• I••• BD affiliated | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | New York, Ny +2 | Affiliated broker-dealer or bank to wirehouse | Apr 19, 2024 over 60 d |
| 11 | O•••• F•• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Red Bank, Nj +3 | Affiliated broker-dealer or bank to another | Apr 19, 2024 over 13 d |
| 3 | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | W•••• F•••• A••••••• wirehouse | Burbank, Ca +1 | Affiliated broker-dealer or bank to wirehouse | Apr 19, 2024 over 18 d |
| 3 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | R•••••• J•••• • A••••••••• I••• national BD | Burlington, Ma | Wirehouse to affiliated broker-dealer or bank | Apr 19, 2024 over 3 d |
| 2 | N••• F•••••• I••••••••• S•••••••• L•• BD affiliated | J••• M••••• S••••••••• L•• wirehouse | Vienna, Va +1 | Affiliated broker-dealer or bank to wirehouse | Apr 19, 2024 over 11 d |
| 2 | C•••••••• G••••• M•••••• I••• BD affiliated | E•••••• A••••••• G••••• L•• BD affiliated | Jacksonville, Fl | Affiliated broker-dealer or bank to another | Apr 19, 2024 over 10 d |
| 2 | W•••••••• S•••• • T••••• A•••• M••••••••• L•• independent RIA | C••••••••• C••••••••• A••••••• S•••••••• mixed wealth | Raleigh, Nc | RIA to RIA | Apr 19, 2024 |
| 6 | C•••••••• G••••• M•••••• I••• BD affiliated | W•••• F•••• A••••••• wirehouse | New York, Ny +1 | Affiliated broker-dealer or bank to wirehouse | Apr 18, 2024 over 29 d |
| 2 | C•••••••• G••••• M•••••• I••• BD affiliated | P•••• S••••••••• L•• BD affiliated | Farmingdale, Ny +1 | Affiliated broker-dealer or bank to another | Apr 18, 2024 over 5 d |
| 2 | B• R•••• W••••• A•••••••• I••• BD affiliated | A•••• • A••••••• G••••• P••••••• independent RIA | Charlotte, Nc | Affiliated broker-dealer or bank to independent RIA | Apr 18, 2024 |
| 2 | E••••• J•••• national BD | L•• F•••••••• L•• BD affiliated | Santa Rosa Beach, Fl +1 | Affiliated broker-dealer or bank to another | Apr 18, 2024 over 13 d |
| 2 | E•••• A••••••• I••• independent RIA | 1• F•••••••• independent RIA | Lufkin, Tx | RIA to RIA | Apr 18, 2024 |
| 5 | C•••• C•••••• S••••••••• L••• BD affiliated | L•• F•••••••• L•• BD affiliated | Orange, Ca +3 | Affiliated broker-dealer or bank to another | Apr 17, 2024 |
| 2 | O•••• F•• I••• BD affiliated | I•• A•••••••• L•• independent RIA | Blairsville, Ga | Affiliated broker-dealer or bank to independent RIA | Apr 17, 2024 over 5 d |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | J••• M••••• S••••••••• L•• wirehouse | Atlanta, Ga | Wirehouse to wirehouse | Apr 17, 2024 over 9 d |
| 2 | L•• F•••••••• L•• BD affiliated | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | San Jose, Ca +1 | Affiliated broker-dealer or bank to another | Apr 17, 2024 over 8 d |
| 2 | E••••• J•••• national BD | •••••••• independent RIA | Manning, Sc +1 | Affiliated broker-dealer or bank to independent RIA | Apr 17, 2024 over 5 d |
| 9 | C•••••••• G••••• M•••••• I••• BD affiliated | J••• M••••• S••••••••• L•• wirehouse | New York, Ny +1 | Affiliated broker-dealer or bank to wirehouse | Apr 16, 2024 over 31 d |
| 8 | G•• S••••••••• I••• BD affiliated | C••••••• W••••• M••••••••• L•• no RAUM | Palm Beach Gardens, Fl | Affiliated broker-dealer or bank to a newly registered adviser | Apr 16, 2024 over 3 d |
| 7 | T•• W••••• C••••••••• G•••• independent RIA | M•• C•••••• M••••••••• L•• independent RIA | Las Vegas, Nv | RIA to RIA | Apr 16, 2024 |
| 6 | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Cedar Rapids, Ia +1 | Affiliated broker-dealer or bank to another | Apr 16, 2024 over 9 d |
| 5 | M••••• S•••••• wirehouse | W•••• F•••• A••••••• wirehouse | Los Angeles, Ca +1 | Wirehouse to wirehouse | Apr 16, 2024 |
| 5 | G•• S••••••••• I••• BD affiliated | C••••••• W••••• M••••••••• L•• no RAUM | Houston, Tx | Affiliated broker-dealer or bank to a newly registered adviser | Apr 16, 2024 over 3 d |
| 4 | M••••• S•••••• wirehouse | U•• F•••••••• S••••••• I••• wirehouse | Miami, Fl | Wirehouse to wirehouse | Apr 16, 2024 over 14 d |
| 4 | C•••• C•••••• S••••••••• L••• BD affiliated | P•••••• A•••••• G••••• L•• BD affiliated | San Francisco, Ca +1 | Affiliated broker-dealer or bank to another | Apr 16, 2024 over 14 d |
| 4 | C•••• C•••••• S••••••••• L••• BD affiliated | L••••• I••••••••• S••••••••• L•• state registered | La Palma, Ca +2 | Affiliated broker-dealer or bank to a state-registered adviser | Apr 16, 2024 over 15 d |
| 4 | J••• M••••• S••••••••• L•• wirehouse | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | Chico, Ca +3 | Wirehouse to wirehouse | Apr 16, 2024 over 16 d |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | F•••••• A••••• L•• independent RIA | Tucson, Az +1 | Wirehouse to independent RIA | Apr 16, 2024 |
| 2 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | L•• F•••••••• L•• BD affiliated | Greenwood Village, Co | Affiliated broker-dealer or bank to another | Apr 16, 2024 over 2 d |
| 2 | T•• W••••• C••••••••• G•••• independent RIA | M•• C•••••• M••••••••• L•• independent RIA | Naples, Fl +1 | RIA to RIA | Apr 16, 2024 |
| 2 | T•• W••••• C••••••••• G•••• independent RIA | M•• C•••••• M••••••••• L•• independent RIA | Orland Park, Il +1 | RIA to RIA | Apr 16, 2024 |
| 2 | T•• W••••• C••••••••• G•••• independent RIA | M•• C•••••• M••••••••• L•• independent RIA | Durham, Nc +1 | RIA to RIA | Apr 16, 2024 |
| 2 | T•• W••••• C••••••••• G•••• independent RIA | M•• C•••••• M••••••••• L•• independent RIA | New Castle, Pa | RIA to RIA | Apr 16, 2024 |
| 2 | N••••••••• M••••• I••••••••• S••••••••• no RAUM | B•••• W••• C••••••• L•• state registered | Milwaukee, Wi | Other | Apr 16, 2024 |
| 2 | C••••••••• F•••••••• N•••••• national BD | T•••• W••••• state registered | Wenatchee, Wa | Affiliated broker-dealer or bank to a state-registered adviser | Apr 16, 2024 |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | W•••• F•••• A••••••• wirehouse | Boca Raton, Fl | Wirehouse to wirehouse | Apr 16, 2024 |
| 4 | C•••••••• G••••• M•••••• I••• BD affiliated | W•••• F•••• A••••••• wirehouse | Fountain Valley, Ca +1 | Affiliated broker-dealer or bank to wirehouse | Apr 15, 2024 over 8 d |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | M••••• S•••••• wirehouse | Melville, Ny +1 | Wirehouse to wirehouse | Apr 15, 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.