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 Money Concepts Advisory Service
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 | Trutoro independent RIA | Money Concepts Advisory Service BD affiliated | Cabot, Ar +3 | RIA to affiliated broker-dealer or bank | Dec 6, 2025 over 16 d |
| 2 | J. W. Cole Advisors, Inc. BD affiliated | Money Concepts Advisory Service BD affiliated | Troy, Mi | Affiliated broker-dealer or bank to another | Feb 28, 2025 |
| 2 | Crown Capital Securities, L.P. BD affiliated | Money Concepts Advisory Service BD affiliated | Placentia, Ca +1 | Affiliated broker-dealer or bank to another | Nov 15, 2023 over 1 d |
| 2 | Jcd Investments, LLC unclassified | Money Concepts Advisory Service BD affiliated | Columbus, In | Other | Jul 20, 2022 |
| 2 | Invest Financial Corporation other | Money Concepts Advisory Service other | Miami, Fl | Other | Feb 13, 2018 |
| 2 | Cwm, LLC other | Money Concepts Advisory Service other | Springfield, Il | Other | Dec 19, 2016 |
| 2 | LPL Financial LLC other | Money Concepts Advisory Service other | Arnold, Mo +1 | Other | Mar 8, 2016 |