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 Msi Financial 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 |
|---|---|---|---|---|---|
| 3 | Mariner independent RIA | Msi Financial Services, Inc. other | Overland Park,, Ks | Other | Jan 31, 2020 over 10 d |
| 10 | Mariner independent RIA | Msi Financial Services, Inc. other | Overland Park,, Ks | Other | Apr 5, 2018 over 1 d |
| 2 | Mariner independent RIA | Msi Financial Services, Inc. other | Osterville, Ma +1 | Other | Apr 5, 2018 |
| 2 | Mariner independent RIA | Msi Financial Services, Inc. other | Wellesley, Ma +1 | Other | Feb 1, 2018 |
| 29 | Mariner independent RIA | Msi Financial Services, Inc. other | Overland Park,, Ks | Other | Jan 25, 2018 over 7 d |
| 2 | Eagle Strategies LLC other | Msi Financial Services, Inc. other | Waltham, Ma +1 | Other | Aug 15, 2016 over 8 d |
| 4 | Mariner other | Msi Financial Services, Inc. other | Overland Park,, Ks | Other | Jul 28, 2016 |
| 2 | Mutual Of Omaha Investor Services, Inc. no RAUM | Msi Financial Services, Inc. other | Marlton, Nj | Other | Jan 25, 2016 |
| 2 | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Birmingham, Al +1 | Other | Jan 4, 2016 |
| 2 | J.P. Morgan Securities LLC wirehouse | Msi Financial Services, Inc. other | Midland Park, Nj +1 | Other | Oct 29, 2015 over 7 d |
| 2 | LPL Financial LLC other | Msi Financial Services, Inc. other | Detroit, Mi +1 | Other | Jul 7, 2015 over 13 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | West Hartford, Ct +1 | Other | Jul 6, 2015 over 7 d |
| 2 | Northwestern Mutual Investment Services,LLC other | Msi Financial Services, Inc. other | Boston, Ma | Other | Feb 12, 2015 |
| 2 | American Portfolios Advisors, Inc other | Msi Financial Services, Inc. other | Holbrook, Ny | Other | Jan 29, 2015 |