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 Spc
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 | Commonwealth Financial Network national BD | Spc BD affiliated | Fishkill, Ny +1 | Affiliated broker-dealer or bank to another | Aug 18, 2025 over 1 d |
| 2 | Just Wealth Management, LLC unclassified | Spc BD affiliated | Sioux Falls, Sd | Other | Jul 31, 2025 |
| 4 | Ic Advisory Services, Inc. BD affiliated | Spc BD affiliated | Cedar Knolls, Nj +2 | Affiliated broker-dealer or bank to another | Jan 29, 2025 |
| 2 | Cetera Advisors LLC BD affiliated | Spc BD affiliated | Rockford, Mi +1 | Affiliated broker-dealer or bank to another | Jun 17, 2022 |
| 3 | Osaic Fs, Inc. BD affiliated | Spc BD affiliated | Okemos, Mi | Affiliated broker-dealer or bank to another | Aug 16, 2021 over 1 d |
| 2 | Wells Fargo Advisors wirehouse | Spc BD affiliated | Denver, Co +1 | Wirehouse to affiliated broker-dealer or bank | Nov 19, 2019 over 3 d |
| 2 | Edward Jones national BD | Spc BD affiliated | Dexter, Mi +1 | Affiliated broker-dealer or bank to another | May 31, 2019 over 12 d |
| 2 | Eagle Strategies LLC BD affiliated | Spc BD affiliated | Ada, Mi +1 | Affiliated broker-dealer or bank to another | Jul 20, 2018 over 3 d |
| 2 | Vsr Advisory Services other | Spc other | Overland Park, Ks | Other | Aug 2, 2016 |
| 2 | Ameriprise Financial Services, LLC national BD | Spc other | St Charles, Il | Other | Feb 8, 2016 |
| 2 | Welgat Wealth Management unclassified | Spc other | Naperville, Il | Other | Dec 31, 2015 |