DFX Intelligence

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.

Advisor teams

Teams that joined Securities America Advisors, 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	Fortune 360 Group LLC independent RIA	Securities America Advisors, Inc. BD affiliated	Plantation, Fl	RIA to affiliated broker-dealer or bank	Feb 24, 2023
4	The Patriot Financial Group, LLC independent RIA	Securities America Advisors, Inc. BD affiliated	Walpole, Ma +2	RIA to affiliated broker-dealer or bank	Jan 27, 2023 over 14 d
2	Next Financial Group, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Depew, Ny	Affiliated broker-dealer or bank to another	Aug 19, 2022
2	Osaic Fa, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Boston, Ma +1	Affiliated broker-dealer or bank to another	Mar 8, 2022 over 1 d
3	Mutual Of Omaha Investor Services, Inc. no RAUM	Securities America Advisors, Inc. BD affiliated	Lakewood, Co +1	Other	Feb 4, 2022
2	Park Avenue Securities LLC BD affiliated	Securities America Advisors, Inc. BD affiliated	Boca Raton, Fl	Affiliated broker-dealer or bank to another	Aug 3, 2021 over 1 d
2	Osaic Fa, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Omaha, Ne	Affiliated broker-dealer or bank to another	May 5, 2021 over 2 d
2	Mutual Of Omaha Investor Services, Inc. no RAUM	Securities America Advisors, Inc. BD affiliated	Oconomowoc, Wi +1	Other	Mar 1, 2021
7	Securian Financial Services, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	San Antonio, Tx +3	Affiliated broker-dealer or bank to another	Nov 12, 2020 over 13 d
4	Voya Financial Advisors, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Cookeville, Tn	Affiliated broker-dealer or bank to another	Sep 8, 2020 over 9 d
3	LPL Financial LLC BD affiliated	Securities America Advisors, Inc. BD affiliated	Costa Mesa, Ca	Affiliated broker-dealer or bank to another	Aug 26, 2020
2	Stonex Advisors Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Birmingham, Al	Affiliated broker-dealer or bank to another	Jul 22, 2020
2	LPL Financial LLC BD affiliated	Securities America Advisors, Inc. BD affiliated	Marshfield, Mo +1	Affiliated broker-dealer or bank to another	Jul 9, 2020
4	Equitable Advisors, LLC national BD	Securities America Advisors, Inc. BD affiliated	Port Jefferson, Ny +2	Affiliated broker-dealer or bank to another	Jun 30, 2020 over 7 d
2	Voya Financial Advisors, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Chattanooga, Tn	Affiliated broker-dealer or bank to another	Jun 26, 2020 over 5 d
2	Voya Financial Advisors, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Clinton, Mo	Affiliated broker-dealer or bank to another	Jun 15, 2020
3	Voya Financial Advisors, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Nevada, Ia +1	Affiliated broker-dealer or bank to another	Jun 8, 2020 over 7 d
2	Voya Financial Advisors, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Overland Park, Ks	Affiliated broker-dealer or bank to another	May 11, 2020
3	Cooper Mcmanus independent RIA	Securities America Advisors, Inc. BD affiliated	Irvine, Ca	RIA to affiliated broker-dealer or bank	Mar 26, 2020
3	Cooper Mcmanus independent RIA	Securities America Advisors, Inc. BD affiliated	Irvine, Ca	RIA to affiliated broker-dealer or bank	Feb 25, 2020 over 7 d
3	H. Beck, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Fairview Village, Pa	Affiliated broker-dealer or bank to another	Dec 31, 2019
3	Stonex Advisors Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Birmingham, Al	Affiliated broker-dealer or bank to another	Dec 24, 2019 over 9 d
2	Raymond James Financial Services Advisors, Inc BD affiliated	Securities America Advisors, Inc. BD affiliated	Santa Fe, Nm	Affiliated broker-dealer or bank to another	Sep 17, 2019 over 8 d
2	The Marshall Financial Group LLC independent RIA	Securities America Advisors, Inc. BD affiliated	Towson, Md	RIA to affiliated broker-dealer or bank	May 31, 2019
2	Summit Financial Group Inc BD affiliated	Securities America Advisors, Inc. BD affiliated	Little Rock, Ar	Affiliated broker-dealer or bank to another	May 7, 2019
3	Woodbury Financial Services, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Columbus, Ne +1	Affiliated broker-dealer or bank to another	Apr 17, 2019 over 1 d
5	Next Financial Group, Inc. independent RIA	Securities America Advisors, Inc. BD affiliated	State College, Pa	RIA to affiliated broker-dealer or bank	Mar 25, 2019
2	Questar Asset Management, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Minneapolis, Mn +1	Affiliated broker-dealer or bank to another	Feb 26, 2019 over 2 d
2	Cambridge Investment Research Advisors, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Victor, Ny	Affiliated broker-dealer or bank to another	Feb 20, 2019
2	Questar Asset Management, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Rockledge, Fl	Affiliated broker-dealer or bank to another	Feb 8, 2019
2	Questar Asset Management, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Lincoln, Ne	Affiliated broker-dealer or bank to another	Feb 6, 2019 over 1 d
2	Questar Asset Management, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Minneapolis, Mn	Affiliated broker-dealer or bank to another	Jan 25, 2019 over 13 d
3	Questar Asset Management, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Scottsdale, Az +1	Affiliated broker-dealer or bank to another	Dec 31, 2018
2	Lonano Financial Advisors, Inc. unclassified	Securities America Advisors, Inc. BD affiliated	Greensboro, Nc	Other	Dec 31, 2018
2	Questar Asset Management, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Minneapolis, Mn	Affiliated broker-dealer or bank to another	Dec 31, 2018 over 8 d
2	LPL Financial LLC independent RIA	Securities America Advisors, Inc. BD affiliated	New London, Ct +1	RIA to affiliated broker-dealer or bank	Dec 26, 2018 over 1 d
3	MML Investors Services, LLC BD affiliated	Securities America Advisors, Inc. BD affiliated	Chesterfield, Mo	Affiliated broker-dealer or bank to another	Dec 13, 2018
2	Questar Asset Management, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Ozark, Mo	Affiliated broker-dealer or bank to another	Dec 10, 2018
2	Ameriprise Financial Services, LLC national BD	Securities America Advisors, Inc. BD affiliated	Sterling Hts, Mi	Affiliated broker-dealer or bank to another	Nov 14, 2018
2	Hornor, Townsend & Kent, LLC BD affiliated	Securities America Advisors, Inc. BD affiliated	Edison, Nj	Affiliated broker-dealer or bank to another	Oct 25, 2018 over 6 d
2	Crg Financial Services, Inc. unclassified	Securities America Advisors, Inc. BD affiliated	Brookfield, Wi	Other	Oct 1, 2018
2	Signator Investors, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Rochester, Mn	Affiliated broker-dealer or bank to another	Oct 1, 2018
3	LPL Financial LLC independent RIA	Securities America Advisors, Inc. BD affiliated	Riverside, Ca	RIA to affiliated broker-dealer or bank	Sep 11, 2018 over 7 d
2	Northwestern Mutual Investment Services,LLC no RAUM	Securities America Advisors, Inc. BD affiliated	Beaver Dam, Wi +1	Other	Aug 16, 2018 over 1 d
3	On Investment Management Co BD affiliated	Securities America Advisors, Inc. BD affiliated	Sterling Height, Mi +1	Affiliated broker-dealer or bank to another	Aug 15, 2018
3	Centaurus Financial, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Leesburg, Va	Affiliated broker-dealer or bank to another	Aug 3, 2018 over 14 d
2	Principal Securities, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Eagle, Id	Affiliated broker-dealer or bank to another	Jun 13, 2018
2	MML Investors Services, LLC BD affiliated	Securities America Advisors, Inc. BD affiliated	Leawood, Ks +1	Affiliated broker-dealer or bank to another	Jun 11, 2018
2	Mutual Of Omaha Investor Services, Inc. no RAUM	Securities America Advisors, Inc. BD affiliated	Omaha, Ne	Other	Jun 10, 2018 over 11 d
2	LPL Financial LLC independent RIA	Securities America Advisors, Inc. BD affiliated	Beavercreek, Oh	RIA to affiliated broker-dealer or bank	May 29, 2018
2	Mutual Of Omaha Investor Services, Inc. no RAUM	Securities America Advisors, Inc. BD affiliated	Omaha, Ne	Other	May 3, 2018 over 8 d
3	Voya Financial Advisors, Inc. BD affiliated	Securities America Advisors, Inc. BD affiliated	Northfield, Mn +1	Affiliated broker-dealer or bank to another	May 1, 2018
2	Investment Centers Of America, Inc. no RAUM	Securities America Advisors, Inc. BD affiliated	Appleton, Wi	Other	Apr 24, 2018
2	Concourse Financial Group Advisors BD affiliated	Securities America Advisors, Inc. BD affiliated	Oklahoma City, Ok	Affiliated broker-dealer or bank to another	Apr 2, 2018
2	Cue Financial Group, Inc. other	Securities America Advisors, Inc. other	Phoenix, Az +1	Other	Dec 31, 2017
5	Invest Financial Corporation other	Securities America Advisors, Inc. other	Worthington, Oh	Other	Dec 18, 2017 over 1 d
2	Invest Financial Corporation other	Securities America Advisors, Inc. other	Federal Way, Wa +1	Other	Dec 5, 2017
8	Invest Financial Corporation other	Securities America Advisors, Inc. other	Rochester, Ny +4	Other	Dec 4, 2017 over 2 d
4	Invest Financial Corporation other	Securities America Advisors, Inc. other	E Lansing, Mi +1	Other	Dec 4, 2017 over 1 d
2	Invest Financial Corporation other	Securities America Advisors, Inc. other	Appleton, Wi	Other	Dec 4, 2017

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115 teams match.derived from registration dates