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 American Portfolios 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 | Faithward Advisors, LLC independent RIA | American Portfolios Advisors, Inc BD affiliated | Chesapeake City, Md | RIA to affiliated broker-dealer or bank | Jun 18, 2024 over 2 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | American Portfolios Advisors, Inc BD affiliated | Ponte Vedra Beach, Fl | Wirehouse to affiliated broker-dealer or bank | Mar 3, 2023 over 10 d |
| 2 | Wells Fargo Advisors wirehouse | American Portfolios Advisors, Inc BD affiliated | Bedminster, Nj | Wirehouse to affiliated broker-dealer or bank | Oct 25, 2022 over 9 d |
| 2 | Cambridge Investment Research Advisors, Inc. BD affiliated | American Portfolios Advisors, Inc independent RIA | Pittsford, Ny | Affiliated broker-dealer or bank to independent RIA | Jul 9, 2021 |
| 2 | Pss Benefits, LLC unclassified | American Portfolios Advisors, Inc independent RIA | Southampton, Pa | Other | Dec 31, 2020 |
| 2 | Slatestone Wealth LLC independent RIA | American Portfolios Advisors, Inc independent RIA | Boca Raton, Fl | RIA to RIA | Oct 23, 2020 |
| 3 | Cetera Advisors LLC BD affiliated | American Portfolios Advisors, Inc independent RIA | Smithtown, Ny | Affiliated broker-dealer or bank to independent RIA | May 14, 2019 over 7 d |
| 2 | Td Private Client Wealth LLC BD affiliated | American Portfolios Advisors, Inc independent RIA | Melville, Ny | Affiliated broker-dealer or bank to independent RIA | Jan 24, 2019 |
| 2 | Concourse Financial Group Advisors BD affiliated | American Portfolios Advisors, Inc independent RIA | Largo, Fl | Affiliated broker-dealer or bank to independent RIA | Oct 19, 2018 |
| 5 | Equitable Advisors, LLC national BD | American Portfolios Advisors, Inc independent RIA | Penfield, Ny +1 | Affiliated broker-dealer or bank to independent RIA | Aug 30, 2018 |
| 2 | Wells Fargo Advisors wirehouse | American Portfolios Advisors, Inc other | Albany, Ny | Other | Mar 21, 2018 |
| 2 | Progressive Advisory Solutions other | American Portfolios Advisors, Inc other | Holbrook, Ny | Other | Dec 31, 2017 |
| 2 | Osaic Fs, Inc. other | American Portfolios Advisors, Inc other | Pittsburgh, Pa | Other | Oct 31, 2017 over 2 d |
| 2 | Commonwealth Financial Network national BD | American Portfolios Advisors, Inc other | Sparta, Nj | Other | Jun 27, 2016 |
| 2 | Equitable Advisors, LLC national BD | American Portfolios Advisors, Inc other | Lancaster, Pa | Other | May 26, 2015 |