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 Bolton Global Asset Management
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 |
|---|---|---|---|---|---|
| 4 | Morgan Stanley wirehouse | Bolton Global Asset Management mixed wealth | Miami, Fl +1 | Wirehouse to independent RIA | Sep 20, 2023 over 14 d |
| 2 | Morgan Stanley wirehouse | Bolton Global Asset Management mixed wealth | Aventura, Fl +1 | Wirehouse to independent RIA | Jun 6, 2023 |
| 4 | Wells Fargo Advisors wirehouse | Bolton Global Asset Management mixed wealth | Miami, Fl +1 | Wirehouse to independent RIA | Aug 9, 2021 over 16 d |
| 3 | Wells Fargo Advisors wirehouse | Bolton Global Asset Management mixed wealth | Weston, Fl +1 | Wirehouse to independent RIA | Jul 6, 2021 |
| 2 | Wells Fargo Advisors wirehouse | Bolton Global Asset Management mixed wealth | Weston, Fl +1 | Wirehouse to independent RIA | May 18, 2021 over 10 d |
| 2 | Wells Fargo Advisors wirehouse | Bolton Global Asset Management mixed wealth | Miami, Fl +1 | Wirehouse to independent RIA | Apr 22, 2021 over 5 d |
| 2 | Wells Fargo Advisors wirehouse | Bolton Global Asset Management BD affiliated | Weston, Fl | Wirehouse to affiliated broker-dealer or bank | Mar 25, 2021 over 13 d |
| 2 | J.P. Morgan Securities LLC wirehouse | Bolton Global Asset Management BD affiliated | Houston, Tx | Wirehouse to affiliated broker-dealer or bank | Sep 20, 2018 |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bolton Global Asset Management BD affiliated | Weston, Fl | Wirehouse to affiliated broker-dealer or bank | Apr 24, 2018 |
| 2 | Morgan Stanley wirehouse | Bolton Global Asset Management other | New York, Ny | Other | Aug 29, 2017 |
| 3 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bolton Global Asset Management other | Miami, Fl | Other | May 18, 2017 over 14 d |
| 2 | Wells Fargo Advisors wirehouse | Bolton Global Asset Management other | Rio De Janeiro +1 | Other | Sep 8, 2016 |
| 4 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bolton Global Asset Management other | Coral Gables, Fl +1 | Other | May 31, 2016 over 21 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bolton Global Asset Management other | Miami, Fl | Other | Feb 2, 2016 over 1 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bolton Global Asset Management other | Miami, Fl | Other | Nov 10, 2015 |
| 2 | Morgan Stanley wirehouse | Bolton Global Asset Management other | Miami, Fl | Other | Apr 21, 2015 over 1 d |