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 Pks Advisory Services, LLC
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 | LPL Financial LLC BD affiliated | Pks Advisory Services, LLC independent RIA | El Segundo, Ca +1 | Affiliated broker-dealer or bank to independent RIA | Apr 23, 2026 over 12 d |
| 2 | Pinnacle Wealth Management, Inc. independent RIA | Pks Advisory Services, LLC independent RIA | Brighton, Mi | RIA to RIA | Jan 24, 2025 |
| 2 | Terra Wealth independent RIA | Pks Advisory Services, LLC independent RIA | High Point, Nc | RIA to RIA | Nov 9, 2023 |
| 2 | Michigan Advisors, Inc other | Pks Advisory Services, LLC independent RIA | Kalamazoo, Mi +1 | Other | Jul 15, 2020 |
| 2 | Michigan Advisors, Inc other | Pks Advisory Services, LLC independent RIA | Albany, Ny | Other | Jul 15, 2020 |
| 2 | Equitable Advisors, LLC national BD | Pks Advisory Services, LLC independent RIA | Austin, Tx | Affiliated broker-dealer or bank to independent RIA | Jan 29, 2020 over 1 d |
| 3 | Equitable Advisors, LLC national BD | Pks Advisory Services, LLC independent RIA | Austin, Tx +1 | Affiliated broker-dealer or bank to independent RIA | Jan 3, 2020 over 3 d |
| 22 | Equitable Advisors, LLC national BD | Pks Advisory Services, LLC independent RIA | Austin, Tx +1 | Affiliated broker-dealer or bank to independent RIA | Oct 29, 2019 over 49 d |
| 3 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pks Advisory Services, LLC independent RIA | Houston, Tx | Wirehouse to independent RIA | Jun 18, 2019 |
| 3 | UBS Financial Services Inc. wirehouse | Pks Advisory Services, LLC other | Los Angeles, Ca | Other | Dec 11, 2017 |
| 2 | Morgan Stanley wirehouse | Pks Advisory Services, LLC other | Newport Beach, Ca | Other | Nov 6, 2017 |
| 2 | Morgan Stanley wirehouse | Pks Advisory Services, LLC other | Greenwood Village, Co | Other | Nov 6, 2017 |