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 Ic Advisory 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 | Cadaret Grant & Co Inc BD affiliated | Ic Advisory Services, Inc. BD affiliated | Syracuse, Ny +1 | Affiliated broker-dealer or bank to another | Jan 21, 2022 |
| 3 | Cadaret Grant & Co Inc BD affiliated | Ic Advisory Services, Inc. BD affiliated | Lancaster, Pa | Affiliated broker-dealer or bank to another | May 20, 2021 |
| 2 | Osaic Institutions, Inc. BD affiliated | Ic Advisory Services, Inc. BD affiliated | Lake Wales, Fl | Affiliated broker-dealer or bank to another | Dec 3, 2018 |
| 5 | World Advisory Services BD affiliated | Ic Advisory Services, Inc. BD affiliated | Lincroft, Nj +2 | Affiliated broker-dealer or bank to another | May 16, 2018 over 1 d |
| 2 | Avantax Advisory Services BD affiliated | Ic Advisory Services, Inc. BD affiliated | Newton, Nj | Affiliated broker-dealer or bank to another | Apr 3, 2018 |
| 3 | Invest Financial Corporation other | Ic Advisory Services, Inc. other | Amherst, Ny | Other | Nov 28, 2017 over 8 d |
| 3 | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Ic Advisory Services, Inc. other | Islandia, Ny | Other | Oct 10, 2017 |
| 2 | Ssn Advisory, Inc. other | Ic Advisory Services, Inc. other | Knoxville, Tn | Other | Oct 2, 2017 |
| 2 | Stonex Advisors Inc. other | Ic Advisory Services, Inc. other | Birmingham, Al | Other | Mar 2, 2015 |