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 Kovack Advisors, 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 | Cetera Investment Advisers LLC BD affiliated | Kovack Advisors, Inc. BD affiliated | Boerne, Tx | Affiliated broker-dealer or bank to another | Aug 25, 2026 over 10 d |
| 2 | Oneamerica Securities, Inc. BD affiliated | Kovack Advisors, Inc. BD affiliated | Atlanta, Ga +1 | Affiliated broker-dealer or bank to another | Jun 26, 2026 |
| 2 | Ic Advisory Services, Inc. BD affiliated | Kovack Advisors, Inc. BD affiliated | Sarasota, Fl | Affiliated broker-dealer or bank to another | Nov 19, 2024 |
| 2 | Cadaret Grant & Co Inc BD affiliated | Kovack Advisors, Inc. BD affiliated | Syracuse, Ny +1 | Affiliated broker-dealer or bank to another | Nov 4, 2024 |
| 2 | Raymond James Financial Services Advisors, Inc BD affiliated | Kovack Advisors, Inc. BD affiliated | Clearwater, Fl | Affiliated broker-dealer or bank to another | Apr 7, 2023 over 3 d |
| 2 | Schwan Financial Advisors, LLC other | Kovack Advisors, Inc. BD affiliated | Aberdeen, Sd | Other | Sep 9, 2022 |
| 3 | Cetera Advisor Networks LLC BD affiliated | Kovack Advisors, Inc. BD affiliated | Adel, Ga | Affiliated broker-dealer or bank to another | Aug 22, 2022 over 1 d |
| 2 | UBS Financial Services Inc. wirehouse | Kovack Advisors, Inc. BD affiliated | Palm Beach Gdns, Fl +1 | Wirehouse to affiliated broker-dealer or bank | Jun 27, 2019 |
| 2 | Securities America Advisors, Inc. BD affiliated | Kovack Advisors, Inc. BD affiliated | Evansville, In | Affiliated broker-dealer or bank to another | May 10, 2019 |
| 3 | Scf Investment Advisors, Inc. BD affiliated | Kovack Advisors, Inc. BD affiliated | San Diego, Ca | Affiliated broker-dealer or bank to another | Aug 6, 2018 |
| 3 | Capital Guardian Wealth Management, LLC independent RIA | Kovack Advisors, Inc. BD affiliated | Naples, Fl +2 | RIA to affiliated broker-dealer or bank | Jul 13, 2018 |
| 3 | Sii Investments, Inc. BD affiliated | Kovack Advisors, Inc. other | Waterford, Ct +2 | Other | Dec 21, 2017 |
| 2 | Tkg Financial, LLC unclassified | Kovack Advisors, Inc. other | Santa Barbara, Ca +1 | Other | May 20, 2017 |
| 3 | Concourse Financial Group Advisors other | Kovack Advisors, Inc. other | Orlando, Fl | Other | May 27, 2016 |
| 2 | Investacorp Advisory Services Inc other | Kovack Advisors, Inc. other | Orange, Ca | Other | Feb 18, 2015 |