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 Cuna Brokerage Services, 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 | Cuso Financial Services, L.P. BD affiliated | Cuna Brokerage Services, Inc. BD affiliated | Indianpolis, In +1 | Affiliated broker-dealer or bank to another | Jan 4, 2021 |
| 2 | LPL Financial LLC BD affiliated | Cuna Brokerage Services, Inc. BD affiliated | Fresno, Ca +1 | Affiliated broker-dealer or bank to another | Feb 27, 2020 over 1 d |
| 2 | Cuso Financial Services, L.P. BD affiliated | Cuna Brokerage Services, Inc. BD affiliated | Houston, Tx +1 | Affiliated broker-dealer or bank to another | Dec 31, 2019 |
| 2 | Cuso Financial Services, L.P. BD affiliated | Cuna Brokerage Services, Inc. BD affiliated | San Diego, Ca | Affiliated broker-dealer or bank to another | Jul 16, 2019 |
| 2 | LPL Financial LLC independent RIA | Cuna Brokerage Services, Inc. mixed wealth | Long Beach, Ca +1 | RIA to RIA | Sep 7, 2018 |
| 2 | Cuso Financial Services, L.P. BD affiliated | Cuna Brokerage Services, Inc. mixed wealth | South Milwaukee, Wi +1 | Affiliated broker-dealer or bank to independent RIA | Jul 11, 2018 |
| 3 | Cuso Financial Services, L.P. other | Cuna Brokerage Services, Inc. other | Buchanan, Mi +2 | Other | Aug 2, 2017 |
| 2 | Cuso Financial Services, L.P. other | Cuna Brokerage Services, Inc. other | Anchorage, Ak | Other | Apr 17, 2017 |