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 T. Rowe Price Advisory Services, 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 | Empower Advisory Group, LLC BD affiliated | T. Rowe Price Advisory Services, Inc. independent RIA | Pueblo West, Co +2 | Affiliated broker-dealer or bank to independent RIA | Aug 24, 2022 over 8 d |
| 3 | Empower Advisory Group, LLC BD affiliated | T. Rowe Price Advisory Services, Inc. independent RIA | Greenwood Village, Co | Affiliated broker-dealer or bank to independent RIA | May 18, 2022 over 13 d |
| 2 | Allstate Financial Advisors, LLC BD affiliated | T. Rowe Price Advisory Services, Inc. independent RIA | Olney, Md +1 | Affiliated broker-dealer or bank to independent RIA | Jul 5, 2019 over 4 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | T. Rowe Price Advisory Services, Inc. independent RIA | Hunt Valley, Md | Wirehouse to independent RIA | May 21, 2019 over 7 d |
| 2 | T. Rowe Price Associates, Inc. asset manager | T. Rowe Price Advisory Services, Inc. independent RIA | Owings Mills, Md | Other | Apr 15, 2019 |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | T. Rowe Price Advisory Services, Inc. independent RIA | Towson, Md +1 | Wirehouse to independent RIA | Feb 27, 2019 over 9 d |
| 2 | Advice And Planning Services other | T. Rowe Price Advisory Services, Inc. independent RIA | Columbia, Md +1 | Other | Feb 8, 2018 |