RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Teams that joined Cetera Advisors LLC
A 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.
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 3 | Oneamerica Securities, Inc. BD affiliated | Cetera Advisors LLC BD affiliated | Indianapolis, In | Affiliated broker-dealer or bank to another | Feb 15, 2023 over 1 d |
| 2 | Waddell & Reed BD affiliated | Cetera Advisors LLC BD affiliated | Overland Park, Ks | Affiliated broker-dealer or bank to another | Apr 7, 2021 over 13 d |
| 3 | Questar Asset Management, Inc. BD affiliated | Cetera Advisors LLC BD affiliated | Minneapolis, Mn | Affiliated broker-dealer or bank to another | Dec 18, 2018 over 8 d |
| 2 | Ameriprise Financial Services, LLC national BD | Cetera Advisors LLC BD affiliated | Arlington, Tx | Affiliated broker-dealer or bank to another | Dec 18, 2018 over 2 d |
| 2 | Oneamerica Securities, Inc. BD affiliated | Cetera Advisors LLC BD affiliated | Baton Rouge, La | Affiliated broker-dealer or bank to another | Jul 12, 2018 |
| 2 | The Renaissance Group, LLC unclassified | Cetera Advisors LLC other | Ventura, Ca | Other | Dec 31, 2017 |
| 2 | Securian Financial Services, Inc. other | Cetera Advisors LLC other | Cedar Rapids, Ia | Other | Nov 16, 2017 |
| 2 | Fifth Third Securities, Inc. other | Cetera Advisors LLC other | Wauseon, Oh +1 | Other | Jul 7, 2015 over 6 d |