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 Level Four Advisory Services
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 | Cetera Investment Advisers LLC BD affiliated | Level Four Advisory Services BD affiliated | Bedford, Tx | Affiliated broker-dealer or bank to another | Jul 21, 2026 over 1 d |
| 2 | Holdun Family Office LLC other | Level Four Advisory Services BD affiliated | Miami, Fl | Other | Jan 22, 2026 |
| 3 | Raymond James Financial Services Advisors, Inc BD affiliated | Level Four Advisory Services BD affiliated | Bloomfield Hills, Mi | Affiliated broker-dealer or bank to another | Apr 2, 2024 over 2 d |
| 5 | Thrivent Investment Management Inc. BD affiliated | Level Four Advisory Services BD affiliated | Shakopee, Mn +1 | Affiliated broker-dealer or bank to another | May 3, 2023 |
| 2 | LPL Financial LLC BD affiliated | Level Four Advisory Services BD affiliated | Roanoke, Va | Affiliated broker-dealer or bank to another | Mar 20, 2023 |
| 8 | Mid-Atlantic Securities, Inc. independent RIA | Level Four Advisory Services BD affiliated | Roanoke, Va +3 | RIA to affiliated broker-dealer or bank | Oct 31, 2022 |
| 5 | Mid-Atlantic Securities, Inc. independent RIA | Level Four Advisory Services BD affiliated | Raleigh, Nc +1 | RIA to affiliated broker-dealer or bank | Oct 31, 2022 |
| 3 | Mid-Atlantic Securities, Inc. independent RIA | Level Four Advisory Services BD affiliated | Great Neck, Ny | RIA to affiliated broker-dealer or bank | Oct 31, 2022 |
| 2 | Cantella & Co., Inc. BD affiliated | Level Four Advisory Services BD affiliated | Williamsburg, Va | Affiliated broker-dealer or bank to another | Oct 6, 2022 |
| 2 | LPL Financial LLC BD affiliated | Level Four Advisory Services BD affiliated | Torrance, Ca +1 | Affiliated broker-dealer or bank to another | Oct 19, 2020 over 10 d |
| 2 | Oneamerica Securities, Inc. other | Level Four Advisory Services other | Prairieville, La +1 | Other | Jul 27, 2017 |
| 2 | Oneamerica Securities, Inc. other | Level Four Advisory Services other | Baton Rouge, La | Other | Jun 9, 2017 |
| 2 | Financial Management Network Inc other | Level Four Advisory Services other | Mission Viejo, Ca | Other | Dec 8, 2016 |
| 2 | Raymond James Financial Services Advisors, Inc other | Level Four Advisory Services other | Manteno, Il | Other | Dec 7, 2015 |
| 3 | Thrivent Investment Management Inc. other | Level Four Advisory Services other | Bismark, Nd | Other | Oct 22, 2015 |
| 3 | Equitable Advisors, LLC national BD | Level Four Advisory Services other | Greenville, Nc +1 | Other | Sep 16, 2015 over 1 d |
| 2 | J.P. Morgan Securities LLC wirehouse | Level Four Advisory Services other | New Orleans, La +1 | Other | Jun 17, 2015 |
| 2 | Raymond James Financial Services Advisors, Inc other | Level Four Advisory Services other | Sioux Falls, Sd | Other | May 8, 2015 |
| 3 | Independent Advisor Alliance, LLC other | Level Four Advisory Services other | Roanoke, Va | Other | Apr 30, 2015 |
| 2 | J.P. Morgan Securities LLC wirehouse | Level Four Advisory Services other | Metairie, La | Other | Mar 12, 2015 |