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 | Cambridge Investment Research Advisors, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Papillion, Ne | Affiliated broker-dealer or bank to another | Apr 2, 2024 |
| 2 | Schmidt Financial Group, Inc. independent RIA | Schmidt Financial Management no RAUM | Kirkland, Wa | RIA to a newly registered adviser | Apr 2, 2024 |
| 2 | Raymond James Financial Services Advisors, Inc BD affiliated | LPL Financial LLC BD affiliated | Plano, Tx | Affiliated broker-dealer or bank to another | Apr 2, 2024 |
| 2 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | W•••• F•••• A••••••• wirehouse | Texas City, Tx | Affiliated broker-dealer or bank to wirehouse | Apr 2, 2024 over 2 d |
| 5 | S•• BD affiliated | O•••• W•••••• I••• BD affiliated | Morenci, Mi +2 | Affiliated broker-dealer or bank to another | Apr 1, 2024 |
| 4 | A•••••• A••••••• S••••••• BD affiliated | L•• F•••••••• L•• BD affiliated | Irving, Tx +1 | Affiliated broker-dealer or bank to another | Apr 1, 2024 |
| 4 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | Ocala, Fl +2 | Wirehouse to affiliated broker-dealer or bank | Apr 1, 2024 over 8 d |
| 4 | S••••••••• A•••••• A•••••••• I••• BD affiliated | M••••••• W••••• M••••••••• I••• no RAUM | Lancaster, Pa +1 | Affiliated broker-dealer or bank to a newly registered adviser | Apr 1, 2024 |
| 3 | W•••• F•••• A••••••• wirehouse | N•••••• A••••••• BD affiliated | Hammond, La | Wirehouse to affiliated broker-dealer or bank | Apr 1, 2024 |
| 3 | S••••••••• A•••••• A•••••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Decatur, Al | Affiliated broker-dealer or bank to another | Apr 1, 2024 |
| 3 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | T•• P•••• W••••• M••••••••• L•• no RAUM | Pinehurst, Nc | Wirehouse to a newly registered adviser (no RAUM reported yet) | Apr 1, 2024 |
| 3 | O•••• F•• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Beaverton, Or +1 | Affiliated broker-dealer or bank to another | Apr 1, 2024 over 1 d |
| 3 | W•••• F•••• A••••••• wirehouse | M••••• S•••••• wirehouse | Plymouth, Mn | Wirehouse to wirehouse | Apr 1, 2024 over 2 d |
| 2 | F•••• F•••••••• independent RIA | L•• F•••••••• L•• BD affiliated | Minneapolis, Mn | RIA to affiliated broker-dealer or bank | Apr 1, 2024 |
| 2 | S•••••• W••••• P•••••••• L•• BD affiliated | I••••••••• A•••••• A•••••••• L•• independent RIA | Zanesville, Oh | Affiliated broker-dealer or bank to independent RIA | Apr 1, 2024 |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | W•••• F•••• A••••••• wirehouse | Oroville, Ca +1 | Wirehouse to wirehouse | Apr 1, 2024 over 4 d |
| 2 | F••••• G•••• A••••••• L•• independent RIA | P••••••• W••••• A••••••• L•• independent RIA | Westwood, Nj | RIA to RIA | Apr 1, 2024 |
| 2 | V•••• F•••••••• A•••••••• I••• BD affiliated | A••••••• A••••••• S•••••••• L•• BD affiliated | Boca Raton, Fl | Affiliated broker-dealer or bank to another | Apr 1, 2024 |
| 2 | S•• BD affiliated | O•••• W•••••• I••• BD affiliated | Maumee, Oh | Affiliated broker-dealer or bank to another | Apr 1, 2024 |
| 7 | A••••••• W••••• A••••••• BD affiliated | A• W••••• M••••••••• L•• independent RIA | Dayton, Oh +1 | Affiliated broker-dealer or bank to independent RIA | Mar 29, 2024 over 3 d |
| 2 | A• W••••• M••••••••• L•• independent RIA | F••• F•••••••• independent RIA | St Louis, Mo | RIA to RIA | Mar 29, 2024 |
| 2 | C••••••• W••••• P••••••• L•• independent RIA | S•••• F•••••••• A••••••• no RAUM | Scottsdale, Az | RIA to a newly registered adviser | Mar 29, 2024 |
| 2 | B••••••••• independent RIA | S•• W••••• A•••••••• L•• independent RIA | New York, Ny | RIA to RIA | Mar 29, 2024 over 10 d |
| 7 | C••• F•••••••• S•••••••• L••• BD affiliated | C••••• I••••••••• A••••••• L•• BD affiliated | Ewa Beach, Hi +4 | Affiliated broker-dealer or bank to another | Mar 28, 2024 |
| 6 | C••••••••• F•••••••• N•••••• national BD | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | Newton Lower Falls, Ma +2 | Affiliated broker-dealer or bank to another | Mar 28, 2024 |
| 4 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | J••• M••••• S••••••••• L•• wirehouse | Houston, Tx +2 | Wirehouse to wirehouse | Mar 28, 2024 over 19 d |
| 4 | M••••• S•••••• wirehouse | J••• M••••• S••••••••• L•• wirehouse | Garden City, Ny +3 | Wirehouse to wirehouse | Mar 28, 2024 over 22 d |
| 3 | M••••• S•••••• wirehouse | U•• F•••••••• S••••••• I••• wirehouse | Houstn, Tx +2 | Wirehouse to wirehouse | Mar 28, 2024 over 19 d |
| 3 | K••••• A••••••• S•••••••• L•• BD affiliated | W••••••••• R••••••••• A••••••• institutional | Bethesda, Md | Other | Mar 28, 2024 |
| 2 | E••••• J•••• national BD | A•••••• A••••••• S••••••• BD affiliated | Lockhart, Tx | Affiliated broker-dealer or bank to another | Mar 28, 2024 |
| 2 | A•••••••• R••••••••• G•••• independent RIA | A•••••••• W••••• P••••••• no RAUM | Naples, Fl +1 | RIA to a newly registered adviser | Mar 28, 2024 |
| 2 | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated | A••••••••• F•••••••• S•••••••• L•• national BD | Williamsburg, Va | Affiliated broker-dealer or bank to another | Mar 28, 2024 |
| 2 | K••••• A••••••• S•••••••• L•• BD affiliated | W••••••••• R••••••••• A••••••• institutional | Charlotte, Nc +1 | Other | Mar 28, 2024 |
| 2 | K••••• A••••••• S•••••••• L•• BD affiliated | W••••••••• R••••••••• A••••••• institutional | Austin, Tx | Other | Mar 28, 2024 |
| 2 | S••••• F••••••••• L•• state registered | A•••• W••••• M••••••••• I••• independent RIA | West Jordan, Ut +1 | Other | Mar 28, 2024 |
| 2 | C••••••• F•••••••• M••••••••• L•• independent RIA | L••• independent RIA | Boulder, Co | RIA to RIA | Mar 28, 2024 |
| 2 | R•••••• J•••• • A••••••••• I••• national BD | W•••• F•••• A••••••• wirehouse | Atlanta, Ga | Affiliated broker-dealer or bank to wirehouse | Mar 28, 2024 over 7 d |
| 2 | M•• I•••••••• S•••••••• L•• BD affiliated | P••• A••••• S••••••••• L•• BD affiliated | San Jose, Ca +1 | Affiliated broker-dealer or bank to another | Mar 28, 2024 over 12 d |
| 2 | M•• I•••••••• S•••••••• L•• BD affiliated | O•••• W•••••• I••• BD affiliated | Lake Oswego, Or | Affiliated broker-dealer or bank to another | Mar 28, 2024 |
| 2 | R•••• W••••• G•••• I••• no RAUM | N•••••• A••••••• BD affiliated | Seal Beach, Ca +1 | Other | Mar 28, 2024 |
| 6 | A• W••••• M••••••••• L•• BD affiliated | C•••••• A• W••••• M••••••••• independent RIA | Cranberry Township, Pa +1 | Affiliated broker-dealer or bank to independent RIA | Mar 27, 2024 |
| 4 | S••••• B•••• I••••••••• A•••••••• L•• independent RIA | M•••••• W••••• M••••••••• L•• no RAUM | Indianapolis, In | RIA to a newly registered adviser | Mar 27, 2024 |
| 3 | T••••• A••••••• S•••••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Hickory, Nc | Affiliated broker-dealer or bank to another | Mar 27, 2024 over 1 d |
| 2 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | R•••••• J•••• • A••••••••• I••• national BD | New York, Ny | Wirehouse to affiliated broker-dealer or bank | Mar 27, 2024 over 1 d |
| 2 | O•••• W•••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Longmont, Co | Affiliated broker-dealer or bank to another | Mar 27, 2024 |
| 2 | S••••••••• S••••••••• L•• asset manager | S••••••••• W••••• other | Minneapolis, Mn | Other | Mar 27, 2024 |
| 2 | S••••••••• A•••••• A•••••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Brentwood, Tn | Affiliated broker-dealer or bank to another | Mar 27, 2024 |
| 5 | A••••••••• F•••••••• S•••••••• L•• national BD | L•• F•••••••• L•• BD affiliated | Mcallen, Tx +2 | Affiliated broker-dealer or bank to another | Mar 26, 2024 over 9 d |
| 4 | M••••• S•••••• wirehouse | R•• C•••••• M••••••• L•• national BD | Hartford, Ct | Wirehouse to affiliated broker-dealer or bank | Mar 26, 2024 over 1 d |
| 3 | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | E••••• J•••• national BD | Woodland Hills, Ca +2 | Wirehouse to affiliated broker-dealer or bank | Mar 26, 2024 over 6 d |
| 3 | M••••• S•••••• wirehouse | W•••• F•••• A••••••• wirehouse | Westborough, Ma +1 | Wirehouse to wirehouse | Mar 26, 2024 |
| 2 | O• I••••••••• M••••••••• C• BD affiliated | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | Freeland, Wa +1 | Affiliated broker-dealer or bank to another | Mar 26, 2024 |
| 2 | P•• W••••• M••••••••• BD affiliated | L•• F•••••••• L•• BD affiliated | Milford, De +1 | Affiliated broker-dealer or bank to another | Mar 26, 2024 |
| 2 | P•••••••• A••••••• national BD | L•• F•••••••• L•• BD affiliated | Metairie, La +1 | Affiliated broker-dealer or bank to another | Mar 26, 2024 over 3 d |
| 2 | O• I••••••••• M••••••••• C• BD affiliated | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | Portland, Or +1 | Affiliated broker-dealer or bank to another | Mar 26, 2024 |
| 2 | M••••• S•••••• wirehouse | R•••••• J•••• • A••••••••• I••• national BD | Anchorage, Ak | Wirehouse to affiliated broker-dealer or bank | Mar 26, 2024 |
| 2 | O•••• F•• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Clayton, Nc +1 | Affiliated broker-dealer or bank to another | Mar 26, 2024 over 1 d |
| 2 | L•• F•••••••• L•• BD affiliated | T••••••• I••••••••• M••••••••• I••• BD affiliated | Columbus, In +1 | Affiliated broker-dealer or bank to another | Mar 26, 2024 over 6 d |
| 5 | J••• M••••• P•••••• W••••• A••••••• L•• BD affiliated | R••••••••• C•••••• M••••••••• BD affiliated | Walnut Creek, Ca +1 | Affiliated broker-dealer or bank to another | Mar 25, 2024 |
| 4 | O•••• F•• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Voorhees, Nj | Affiliated broker-dealer or bank to another | Mar 25, 2024 over 2 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.