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 Valmark Advisers, 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 |
|---|---|---|---|---|---|
| 3 | Lion Street Advisors, LLC BD affiliated | Valmark Advisers, Inc. BD affiliated | Dallas, Tx +1 | Affiliated broker-dealer or bank to another | Jan 9, 2023 |
| 2 | Avantax Advisory Services BD affiliated | Valmark Advisers, Inc. BD affiliated | Glencoe, Mn | Affiliated broker-dealer or bank to another | Sep 20, 2022 |
| 2 | Securian Financial Services, Inc. independent RIA | Valmark Advisers, Inc. BD affiliated | Newport Beach, Ca | RIA to affiliated broker-dealer or bank | Jul 5, 2022 over 2 d |
| 2 | LPL Financial LLC BD affiliated | Valmark Advisers, Inc. BD affiliated | Omaha, Ne | Affiliated broker-dealer or bank to another | Feb 23, 2022 |
| 2 | Tlg Advisors, Inc. BD affiliated | Valmark Advisers, Inc. BD affiliated | Summit, Nj | Affiliated broker-dealer or bank to another | Oct 18, 2021 |
| 2 | Hornor, Townsend & Kent, LLC BD affiliated | Valmark Advisers, Inc. mixed wealth | Pittsford, Ny | Affiliated broker-dealer or bank to independent RIA | Aug 4, 2020 |
| 4 | Cetera Advisor Networks LLC BD affiliated | Valmark Advisers, Inc. mixed wealth | Cincinnati, Oh | Affiliated broker-dealer or bank to independent RIA | Jul 23, 2020 |
| 3 | Principal Securities, Inc. BD affiliated | Valmark Advisers, Inc. BD affiliated | Onalaska, Wi +1 | Affiliated broker-dealer or bank to another | Jul 24, 2019 over 2 d |
| 2 | B&E Investment Advisers, Inc. state registered | Valmark Advisers, Inc. mixed wealth | Wayzata, Mn | Other | Nov 9, 2018 |
| 4 | Ameriprise Financial Services, LLC national BD | Valmark Advisers, Inc. mixed wealth | Cincinnati, Oh | Affiliated broker-dealer or bank to independent RIA | Oct 1, 2018 |
| 2 | Independent Financial Group, LLC other | Valmark Advisers, Inc. other | San Diego, Ca +1 | Other | Mar 5, 2017 |