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 Invest Financial Corporation
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 | Brass Tax Wealth Management independent RIA | Invest Financial Corporation no RAUM | Cincinnati, Oh | Other | Dec 2, 2025 over 1 d |
| 2 | Truist Advisory Services, Inc. other | Invest Financial Corporation other | Augusta, Ga +1 | Other | Sep 6, 2017 over 7 d |
| 2 | LPL Financial LLC other | Invest Financial Corporation other | Waukesha, Wi +1 | Other | Dec 31, 2016 |
| 3 | Avantax Advisory Services other | Invest Financial Corporation other | Albany, Ga +1 | Other | Jun 3, 2016 |
| 2 | Oneida Wealth Management, Inc. other | Invest Financial Corporation other | Syracuse, Ny +1 | Other | Apr 20, 2016 over 2 d |
| 2 | Nfp Advisor Services, LLC other | Invest Financial Corporation other | Port St Lucie, Fl | Other | Jan 22, 2016 |
| 7 | Essex National Securities, Inc. other | Invest Financial Corporation other | Brick, Nj +5 | Other | Oct 15, 2015 |
| 2 | Essex National Securities, Inc. other | Invest Financial Corporation other | Napa, Ca | Other | Oct 15, 2015 |
| 2 | Cuna Brokerage Services, Inc. other | Invest Financial Corporation other | Moline, Il | Other | Oct 1, 2015 over 5 d |