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 Lasalle St. Investment Advisors, L.L.C.
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 | Osaic Advisory Services, LLC BD affiliated | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Oak Brook, Il | Affiliated broker-dealer or bank to another | Apr 15, 2025 |
| 4 | Cadaret Grant & Co Inc BD affiliated | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Clarence, Ny +1 | Affiliated broker-dealer or bank to another | Feb 5, 2025 |
| 2 | Stifel, Nicolaus & Company, Incorporated national BD | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Succasunna, Nj | Affiliated broker-dealer or bank to another | Jul 16, 2024 |
| 2 | Securities America Advisors, Inc. BD affiliated | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Missoula, Mt | Affiliated broker-dealer or bank to another | Jan 26, 2024 over 6 d |
| 3 | Forum Financial Management, LP independent RIA | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Frankfort, Il +1 | RIA to affiliated broker-dealer or bank | Nov 7, 2023 |
| 2 | Securities America Advisors, Inc. BD affiliated | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Las Vegas, Nv | Affiliated broker-dealer or bank to another | Apr 25, 2023 over 14 d |
| 2 | Securities America Advisors, Inc. BD affiliated | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Williamsville, Ny | Affiliated broker-dealer or bank to another | Nov 2, 2022 over 1 d |
| 2 | Avantax Advisory Services BD affiliated | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Odessa, Tx +1 | Affiliated broker-dealer or bank to another | Feb 8, 2022 |
| 2 | Ameriprise Financial Services, LLC national BD | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Rocky River, Oh | Affiliated broker-dealer or bank to another | Nov 8, 2019 |
| 2 | Saxony Capital Management, LLC independent RIA | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Saint Louis, Mo | RIA to affiliated broker-dealer or bank | Feb 27, 2019 |
| 2 | Invest Financial Corporation other | Lasalle St. Investment Advisors, L.L.C. other | Corbin, Ky +1 | Other | Dec 15, 2017 |
| 2 | Concorde Asset Management, LLC other | Lasalle St. Investment Advisors, L.L.C. other | Ann Arbor, Mi | Other | Sep 23, 2016 over 7 d |