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 Cadaret Grant & Co Inc
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 |
|---|---|---|---|---|---|
| 4 | Woodbury Financial Services, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | Scottsdale, Az +1 | Affiliated broker-dealer or bank to another | Dec 13, 2023 |
| 2 | Woodbury Financial Services, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | Mckinney, Tx | Affiliated broker-dealer or bank to another | Dec 13, 2023 |
| 5 | Securities America Advisors, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | Worthington, Oh | Affiliated broker-dealer or bank to another | Dec 6, 2023 over 5 d |
| 2 | Securities America Advisors, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | Glastonbury, Ct | Affiliated broker-dealer or bank to another | Jun 9, 2023 |
| 4 | Flagstar Securities, Inc. independent RIA | Cadaret Grant & Co Inc BD affiliated | Garden City, Ny | RIA to affiliated broker-dealer or bank | Jun 1, 2023 |
| 3 | Securities America Advisors, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | Glastonbury, Ct | Affiliated broker-dealer or bank to another | May 12, 2023 over 3 d |
| 3 | Securities America Advisors, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | La Vista, Ne | Affiliated broker-dealer or bank to another | May 9, 2023 |
| 4 | Mariner Advisor Network independent RIA | Cadaret Grant & Co Inc BD affiliated | Los Gatos, Ca +2 | RIA to affiliated broker-dealer or bank | Jan 27, 2023 |
| 3 | UBS Financial Services Inc. wirehouse | Cadaret Grant & Co Inc BD affiliated | Birmingham, Mi +1 | Wirehouse to affiliated broker-dealer or bank | Aug 23, 2022 |
| 2 | LPL Financial LLC independent RIA | Cadaret Grant & Co Inc BD affiliated | Chillicothe, Oh | RIA to affiliated broker-dealer or bank | Jun 17, 2022 |
| 2 | Mercap Advisors, Inc. no RAUM | Cadaret Grant & Co Inc BD affiliated | Paoli, Pa | Other | Dec 18, 2020 |
| 5 | Cambridge Investment Research Advisors, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | Birmingham, Mi | Affiliated broker-dealer or bank to another | Nov 24, 2020 over 9 d |
| 2 | Triad Advisors, LLC BD affiliated | Cadaret Grant & Co Inc BD affiliated | Sciota, Pa | Affiliated broker-dealer or bank to another | May 27, 2020 |
| 3 | Raymond James Financial Services Advisors, Inc BD affiliated | Cadaret Grant & Co Inc BD affiliated | Chattanooga, Tn +1 | Affiliated broker-dealer or bank to another | May 26, 2020 |
| 2 | LPL Financial LLC BD affiliated | Cadaret Grant & Co Inc BD affiliated | Liverpool, Ny +1 | Affiliated broker-dealer or bank to another | Oct 17, 2019 |
| 3 | Osaic Wealth, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | Wall, Nj +1 | Affiliated broker-dealer or bank to another | May 21, 2019 over 9 d |
| 2 | MML Investors Services, LLC other | Cadaret Grant & Co Inc other | Guilford, Ct +1 | Other | Jan 31, 2018 over 6 d |
| 3 | Cambridge Investment Research Advisors, Inc. other | Cadaret Grant & Co Inc other | Amherst, Ny | Other | Dec 14, 2017 |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cadaret Grant & Co Inc other | Syracuse, Ny | Other | Aug 22, 2017 |