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 Allworth Financial, L.P.
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 | Salzinger Sheaff Brock, LLC independent RIA | Allworth Financial, L.P. BD affiliated | Indianapolis, In | RIA to affiliated broker-dealer or bank | Jun 26, 2025 |
| 2 | Goldman Sachs Wealth Services, L.P. BD affiliated | Allworth Financial, L.P. BD affiliated | Irving, Tx | Affiliated broker-dealer or bank to another | May 20, 2025 over 10 d |
| 5 | Arbor Point Advisors BD affiliated | Allworth Financial, L.P. BD affiliated | Vancouver, Wa | Affiliated broker-dealer or bank to another | Nov 5, 2024 over 2 d |
| 2 | Arbor Point Advisors BD affiliated | Allworth Financial, L.P. BD affiliated | Portland, Or | Affiliated broker-dealer or bank to another | Nov 5, 2024 over 2 d |
| 2 | Del Monte Group, LLC independent RIA | Allworth Financial, L.P. BD affiliated | Alamo, Ca | RIA to affiliated broker-dealer or bank | Jun 12, 2024 over 1 d |
| 3 | Affinity Financial Advisors independent RIA | Allworth Financial, L.P. BD affiliated | Lawrence, Ks | RIA to affiliated broker-dealer or bank | Aug 15, 2023 |
| 2 | The Harvest Group independent RIA | Allworth Financial, L.P. BD affiliated | Waltham, Ma | RIA to affiliated broker-dealer or bank | Aug 10, 2023 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Allworth Financial, L.P. BD affiliated | El Segundo, Ca | Affiliated broker-dealer or bank to another | Apr 20, 2023 |
| 2 | Redrock Wealth Management, LLC independent RIA | Allworth Financial, L.P. BD affiliated | Las Vegas, Nv | RIA to affiliated broker-dealer or bank | Mar 30, 2023 |
| 3 | MML Investors Services, LLC BD affiliated | Allworth Financial, L.P. BD affiliated | Indianapolis, In | Affiliated broker-dealer or bank to another | Mar 3, 2023 |
| 2 | LPL Financial LLC independent RIA | Allworth Financial, L.P. BD affiliated | Chico, Ca | RIA to affiliated broker-dealer or bank | Dec 21, 2022 |
| 2 | Arbor Point Advisors BD affiliated | Allworth Financial, L.P. BD affiliated | Riverwoods, Il | Affiliated broker-dealer or bank to another | Aug 16, 2022 |
| 3 | LPL Financial LLC BD affiliated | Allworth Financial, L.P. independent RIA | Cape Girardeau, Mo +1 | Affiliated broker-dealer or bank to independent RIA | Dec 22, 2021 |
| 2 | Shone Wealth Management independent RIA | Allworth Financial, L.P. independent RIA | Walnut Creek, Ca | RIA to RIA | Aug 18, 2021 |
| 2 | Mariner Advisor Network independent RIA | Allworth Financial, L.P. independent RIA | Los Gatos, Ca | RIA to RIA | Jul 6, 2021 |
| 2 | Houston Asset Management, Inc. unclassified | Allworth Financial, L.P. independent RIA | Houston, Tx | Other | Jul 7, 2020 over 6 d |