DFX Intelligence

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.

Advisor teams

Teams that joined Gwn Securities 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	Capital Analysts BD affiliated	Gwn Securities Inc. BD affiliated	Austin, Tx +1	Affiliated broker-dealer or bank to another	May 1, 2025
2	Voya Financial Advisors, Inc. BD affiliated	Gwn Securities Inc. BD affiliated	Tampa, Fl	Affiliated broker-dealer or bank to another	Dec 31, 2022
5	Equitable Advisors, LLC national BD	Gwn Securities Inc. BD affiliated	Houston, Tx	Affiliated broker-dealer or bank to another	Jun 27, 2022 over 22 d
4	Equitable Advisors, LLC national BD	Gwn Securities Inc. BD affiliated	Los Angeles, Ca	Affiliated broker-dealer or bank to another	Jul 15, 2021 over 5 d
11	Equitable Advisors, LLC national BD	Gwn Securities Inc. BD affiliated	Los Angeles, Ca	Affiliated broker-dealer or bank to another	Jun 21, 2021 over 7 d
2	Spc BD affiliated	Gwn Securities Inc. BD affiliated	Ann Arbor, Mi	Affiliated broker-dealer or bank to another	Jul 17, 2020
4	MML Investors Services, LLC BD affiliated	Gwn Securities Inc. BD affiliated	Princeton, Nj +1	Affiliated broker-dealer or bank to another	Jul 2, 2020
2	Ameritas Advisory Services BD affiliated	Gwn Securities Inc. BD affiliated	Greensboro, Ga	Affiliated broker-dealer or bank to another	Aug 20, 2019 over 7 d
2	Ameritas Advisory Services BD affiliated	Gwn Securities Inc. BD affiliated	Colorado Springs, Co	Affiliated broker-dealer or bank to another	Aug 5, 2019 over 3 d
2	Cantella & Co., Inc. BD affiliated	Gwn Securities Inc. BD affiliated	Vandalia, Oh	Affiliated broker-dealer or bank to another	Jul 18, 2019
2	Voya Financial Advisors, Inc. BD affiliated	Gwn Securities Inc. BD affiliated	Tampa, Fl +1	Affiliated broker-dealer or bank to another	May 21, 2019 over 1 d
2	Avantax Advisory Services BD affiliated	Gwn Securities Inc. BD affiliated	Wellington, Fl +1	Affiliated broker-dealer or bank to another	Mar 1, 2019
3	MML Investors Services, LLC BD affiliated	Gwn Securities Inc. BD affiliated	Wall Township, Nj	Affiliated broker-dealer or bank to another	Aug 21, 2018 over 2 d
2	Voya Financial Advisors, Inc. other	Gwn Securities Inc. other	Fort Lauderdale, Fl	Other	Jun 27, 2017
2	Legend Advisory, LLC other	Gwn Securities Inc. other	Palm Beach Gardens, Fl	Other	Sep 27, 2016
2	Legend Advisory, LLC other	Gwn Securities Inc. other	Winter Park, Fl +1	Other	Aug 10, 2016 over 5 d
2	Hornor, Townsend & Kent, LLC other	Gwn Securities Inc. other	Succasunna, Nj	Other	Aug 4, 2016
2	Stonex Advisors Inc. other	Gwn Securities Inc. other	Birmingham, Al	Other	Dec 31, 2015 over 4 d
4	B. Riley Wealth Advisors, Inc. other	Gwn Securities Inc. other	Norwalk, Ct	Other	Jun 17, 2015 over 2 d

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19 teams match.derived from registration dates