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 B. Riley Wealth 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 |
|---|---|---|---|---|---|
| 3 | B Riley Wealth Management BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Nashville, Tn +1 | Affiliated broker-dealer or bank to another | Oct 25, 2022 |
| 2 | B Riley Wealth Management BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Memphis, Tn +1 | Affiliated broker-dealer or bank to another | Sep 15, 2022 over 8 d |
| 2 | Ladenburg Thalmann Asset Management Inc independent RIA | B. Riley Wealth Advisors, Inc. BD affiliated | New York, Ny +1 | RIA to affiliated broker-dealer or bank | Dec 31, 2020 |
| 6 | United Advisors Services, LLC independent RIA | B. Riley Wealth Advisors, Inc. BD affiliated | Boca Raton, Fl | RIA to affiliated broker-dealer or bank | Sep 17, 2020 over 5 d |
| 3 | United Advisors Services, LLC independent RIA | B. Riley Wealth Advisors, Inc. BD affiliated | Buffalo, Ny | RIA to affiliated broker-dealer or bank | Sep 17, 2020 |
| 2 | United Advisors Services, LLC independent RIA | B. Riley Wealth Advisors, Inc. BD affiliated | Sharon, Pa | RIA to affiliated broker-dealer or bank | Sep 17, 2020 |
| 2 | Sanctuary Advisors, LLC BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Chicago, Il | Affiliated broker-dealer or bank to another | Sep 17, 2020 over 1 d |
| 2 | Equitable Advisors, LLC national BD | B. Riley Wealth Advisors, Inc. BD affiliated | Tampa, Fl | Affiliated broker-dealer or bank to another | Jan 28, 2020 over 8 d |
| 4 | Stratos Wealth Advisors LLC independent RIA | B. Riley Wealth Advisors, Inc. BD affiliated | Westport, Ct | RIA to affiliated broker-dealer or bank | Jan 2, 2020 |
| 2 | Wells Fargo Advisors wirehouse | B. Riley Wealth Advisors, Inc. BD affiliated | Boynton Beach, Fl +1 | Wirehouse to affiliated broker-dealer or bank | Feb 1, 2019 |
| 2 | Aegis Capital Corp. BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | New York, Ny | Affiliated broker-dealer or bank to another | Mar 6, 2018 |
| 3 | Ameriprise Financial Services, LLC national BD | B. Riley Wealth Advisors, Inc. BD affiliated | The Woodlands, Tx | Affiliated broker-dealer or bank to another | Jan 16, 2018 over 8 d |
| 2 | Heritage Wealth Management, LLC unclassified | B. Riley Wealth Advisors, Inc. BD affiliated | Palatine, Il | Other | Dec 31, 2017 |
| 2 | Wfg Advisors, LP other | B. Riley Wealth Advisors, Inc. other | San Antonio, Tx +1 | Other | Aug 24, 2017 over 1 d |
| 3 | Wfg Advisors, LP other | B. Riley Wealth Advisors, Inc. other | Little Rock, Ar +1 | Other | Aug 3, 2017 |
| 8 | Wfg Advisors, LP other | B. Riley Wealth Advisors, Inc. other | Dallas, Tx +1 | Other | Jul 17, 2017 over 22 d |
| 2 | Modern Capital Advisors, LLC other | B. Riley Wealth Advisors, Inc. other | Raleigh, Nc | Other | Feb 23, 2017 |
| 2 | Select Planning Group, Inc. unclassified | B. Riley Wealth Advisors, Inc. other | Irvine, Ca | Other | Jul 28, 2015 over 3 d |
| 5 | Jhs Capital Advisors, LLC other | B. Riley Wealth Advisors, Inc. other | Summit, Nj | Other | Jun 23, 2015 over 2 d |
| 8 | Dominick & Dominick LLC other | B. Riley Wealth Advisors, Inc. other | New York, Ny | Other | Jan 26, 2015 over 2 d |