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 Summit Financial Group 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 |
|---|---|---|---|---|---|
| 2 | Principal Securities, Inc. BD affiliated | Summit Financial Group Inc BD affiliated | Atlanta, Ga | Affiliated broker-dealer or bank to another | Dec 17, 2020 |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Summit Financial Group Inc BD affiliated | Hilton Head Island, Sc | Wirehouse to affiliated broker-dealer or bank | Jun 4, 2020 |
| 2 | Voya Financial Advisors, Inc. BD affiliated | Summit Financial Group Inc BD affiliated | Bridgewater, Nj | Affiliated broker-dealer or bank to another | Apr 1, 2020 |
| 2 | LPL Financial LLC BD affiliated | Summit Financial Group Inc BD affiliated | Scottsdale, Az | Affiliated broker-dealer or bank to another | Mar 13, 2020 |
| 8 | Cetera Investment Advisers LLC BD affiliated | Summit Financial Group Inc BD affiliated | Denver, Co +1 | Affiliated broker-dealer or bank to another | Feb 10, 2020 over 1 d |
| 3 | Independent Advisor Alliance, LLC independent RIA | Summit Financial Group Inc BD affiliated | Greensboro, Nc | RIA to affiliated broker-dealer or bank | Nov 27, 2019 |
| 3 | Wells Fargo Advisors wirehouse | Summit Financial Group Inc BD affiliated | Oakhurst, Nj | Wirehouse to affiliated broker-dealer or bank | Jun 18, 2019 |
| 2 | Cetera Investment Advisers LLC BD affiliated | Summit Financial Group Inc BD affiliated | Miramar Beach, Fl +1 | Affiliated broker-dealer or bank to another | Oct 8, 2018 over 3 d |
| 2 | Investment Advisors Corp BD affiliated | Summit Financial Group Inc BD affiliated | Broomfield, Co | Affiliated broker-dealer or bank to another | Sep 10, 2018 |
| 2 | Wells Fargo Advisors wirehouse | Summit Financial Group Inc other | Silverdale, Wa | Other | Dec 6, 2017 |
| 2 | Wells Fargo Advisors wirehouse | Summit Financial Group Inc other | Odessa, Tx | Other | Aug 25, 2015 |
| 3 | Wells Fargo Advisors wirehouse | Summit Financial Group Inc other | Marble Falls, Tx | Other | Jun 15, 2015 |