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 Sagepoint Financial, 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	Osaic Fa, Inc. BD affiliated	Sagepoint Financial, Inc. BD affiliated	Williamsville, Ny	Affiliated broker-dealer or bank to another	May 16, 2023
2	Eagle Strategies LLC BD affiliated	Sagepoint Financial, Inc. BD affiliated	Wyomissing, Pa	Affiliated broker-dealer or bank to another	May 3, 2023
2	LPL Financial LLC independent RIA	Sagepoint Financial, Inc. BD affiliated	Fort Mill, Sc	RIA to affiliated broker-dealer or bank	Oct 20, 2022 over 13 d
10	Securian Financial Services, Inc. independent RIA	Sagepoint Financial, Inc. BD affiliated	Braintree, Ma	RIA to affiliated broker-dealer or bank	Aug 19, 2022
2	Osaic Fa, Inc. BD affiliated	Sagepoint Financial, Inc. BD affiliated	Scottsdale, Az	Affiliated broker-dealer or bank to another	May 9, 2022
2	Cetera Advisors LLC BD affiliated	Sagepoint Financial, Inc. BD affiliated	Chanhassen, Mn	Affiliated broker-dealer or bank to another	May 2, 2022
5	Securian Financial Services, Inc. independent RIA	Sagepoint Financial, Inc. BD affiliated	Lancaster, Pa	RIA to affiliated broker-dealer or bank	Apr 6, 2022 over 1 d
2	Mutual Advisors, LLC BD affiliated	Sagepoint Financial, Inc. BD affiliated	Cedarburg, Wi	Affiliated broker-dealer or bank to another	Dec 21, 2021
2	Cml Wealth Management, LLC independent RIA	Sagepoint Financial, Inc. BD affiliated	Brea, Ca	RIA to affiliated broker-dealer or bank	Nov 8, 2021
2	Cambridge Investment Research Advisors, Inc. BD affiliated	Sagepoint Financial, Inc. BD affiliated	Grayslake, Il	Affiliated broker-dealer or bank to another	Aug 6, 2021
3	Securian Financial Services, Inc. BD affiliated	Sagepoint Financial, Inc. BD affiliated	Birmingham, Al +1	Affiliated broker-dealer or bank to another	Jun 23, 2021
2	Voya Financial Advisors, Inc. BD affiliated	Sagepoint Financial, Inc. BD affiliated	Woburn, Ma +1	Affiliated broker-dealer or bank to another	Apr 26, 2021 over 8 d
3	MML Investors Services, LLC BD affiliated	Sagepoint Financial, Inc. BD affiliated	Cleveland, Oh +2	Affiliated broker-dealer or bank to another	Dec 18, 2020
3	LPL Financial LLC BD affiliated	Sagepoint Financial, Inc. BD affiliated	Fresno, Ca	Affiliated broker-dealer or bank to another	Nov 11, 2020
2	MML Investors Services, LLC BD affiliated	Sagepoint Financial, Inc. BD affiliated	Cleveland, Oh	Affiliated broker-dealer or bank to another	Sep 24, 2020
6	LPL Financial LLC BD affiliated	Sagepoint Financial, Inc. BD affiliated	Lake Oswego, Or +1	Affiliated broker-dealer or bank to another	Sep 11, 2020
2	Independent Capital Management unclassified	Sagepoint Financial, Inc. BD affiliated	Irvine, Ca +1	Other	Nov 13, 2019
2	Morgan Stanley wirehouse	Sagepoint Financial, Inc. BD affiliated	West Hartford, Ct	Wirehouse to affiliated broker-dealer or bank	Sep 16, 2019
2	Cudlipp Advisor Services, LLC independent RIA	Sagepoint Financial, Inc. BD affiliated	Pittsford, Ny	RIA to affiliated broker-dealer or bank	Apr 12, 2019
2	Nielsen Financial Services, Inc. unclassified	Sagepoint Financial, Inc. BD affiliated	Salt Lake City, Ut	Other	Dec 31, 2018
2	Next Financial Group, Inc. independent RIA	Sagepoint Financial, Inc. BD affiliated	Provo, Ut	RIA to affiliated broker-dealer or bank	Dec 21, 2018 over 10 d
2	Packerland Brokerage Services, Inc. independent RIA	Sagepoint Financial, Inc. BD affiliated	Green Bay, Wi +1	RIA to affiliated broker-dealer or bank	Nov 9, 2018
2	Next Financial Group, Inc. independent RIA	Sagepoint Financial, Inc. BD affiliated	Lehi, Ut	RIA to affiliated broker-dealer or bank	Sep 6, 2018
2	Next Financial Group, Inc. independent RIA	Sagepoint Financial, Inc. BD affiliated	Lagrange, Ky +1	RIA to affiliated broker-dealer or bank	Sep 4, 2018
4	Next Financial Group, Inc. independent RIA	Sagepoint Financial, Inc. BD affiliated	Houston, Tx	RIA to affiliated broker-dealer or bank	Aug 30, 2018
2	MML Investors Services, LLC BD affiliated	Sagepoint Financial, Inc. BD affiliated	Wausau, Wi	Affiliated broker-dealer or bank to another	Jun 5, 2018
4	LPL Financial LLC independent RIA	Sagepoint Financial, Inc. BD affiliated	Phoenix, Az	RIA to affiliated broker-dealer or bank	Apr 23, 2018 over 1 d
2	MML Investors Services, LLC other	Sagepoint Financial, Inc. BD affiliated	Lewiston, Me +1	Other	Feb 26, 2018
9	MML Investors Services, LLC other	Sagepoint Financial, Inc. BD affiliated	Wauwatosa, Wi +1	Other	Jan 19, 2018 over 27 d
3	Sii Investments, Inc. other	Sagepoint Financial, Inc. BD affiliated	Wichita, Ks	Other	Dec 1, 2017 over 12 d
6	Sii Investments, Inc. other	Sagepoint Financial, Inc. BD affiliated	Westborough, Ma +1	Other	Nov 28, 2017 over 1 d
5	MML Investors Services, LLC other	Sagepoint Financial, Inc. BD affiliated	Wauwatosa, Wi	Other	Nov 3, 2017 over 13 d
2	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Sagepoint Financial, Inc. BD affiliated	Denver, Co	Other	Nov 2, 2017 over 8 d
5	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Sagepoint Financial, Inc. BD affiliated	San Diego, Ca +3	Other	Oct 27, 2017 over 14 d
2	Wells Fargo Advisors wirehouse	Sagepoint Financial, Inc. BD affiliated	Chicago, Il	Wirehouse to affiliated broker-dealer or bank	Oct 27, 2017
3	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Sagepoint Financial, Inc. other	Honolulu, Hi	Other	Oct 26, 2017
2	First Allied Advisory Services, Inc. other	Sagepoint Financial, Inc. other	Middletown, De +1	Other	Jan 27, 2017
2	Questar Asset Management, Inc. other	Sagepoint Financial, Inc. other	Minneapolis, Mn	Other	Dec 6, 2016
4	Msi Financial Services, Inc. other	Sagepoint Financial, Inc. other	Fort Lauderdale, Fl	Other	Nov 18, 2016
2	Investacorp Advisory Services Inc other	Sagepoint Financial, Inc. other	Lincoln, Ne	Other	Nov 7, 2016
2	Msi Financial Services, Inc. other	Sagepoint Financial, Inc. other	Boca Raton, Fl +1	Other	Jul 19, 2016 over 14 d
2	Scheller Financial Services other	Sagepoint Financial, Inc. other	Portland, Or	Other	Jun 20, 2016
3	Questar Asset Management, Inc. other	Sagepoint Financial, Inc. other	Houston, Tx +1	Other	May 26, 2016 over 11 d
2	Msi Financial Services, Inc. other	Sagepoint Financial, Inc. other	Downers Grove, Il	Other	May 19, 2016
3	Transamerica Financial Advisors, LLC other	Sagepoint Financial, Inc. other	Northville, Mi +1	Other	Mar 15, 2016 over 2 d
2	Pruco Securities, LLC other	Sagepoint Financial, Inc. other	Walnut Creek, Ca	Other	Feb 17, 2016
2	Cadaret Grant & Co Inc other	Sagepoint Financial, Inc. other	Toms River, Nj +1	Other	Feb 5, 2016
2	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Sagepoint Financial, Inc. other	Indianapolis, In	Other	Sep 10, 2015
2	Fintegra, LLC other	Sagepoint Financial, Inc. other	Laguna Niguel, Ca +1	Other	Aug 19, 2015 over 9 d
4	Questar Asset Management, Inc. other	Sagepoint Financial, Inc. other	Bedford, Nh +3	Other	Jun 10, 2015 over 21 d

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50 teams match.derived from registration dates