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 Advisory Services Network
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 | Florida Financial Advisors, LLC BD affiliated | Advisory Services Network independent RIA | Jacksonville, Fl | Affiliated broker-dealer or bank to independent RIA | Aug 27, 2026 |
| 2 | Ategra Capital Management, LLC mixed wealth | Advisory Services Network independent RIA | Vienna, Va | RIA to RIA | Apr 8, 2024 over 7 d |
| 3 | Navigate Private Wealth, LLC independent RIA | Advisory Services Network independent RIA | Draper, Ut +1 | RIA to RIA | Jul 6, 2023 |
| 2 | R.L.K. Advisory Group independent RIA | Advisory Services Network independent RIA | Port Orange, Fl | RIA to RIA | Mar 27, 2023 |
| 2 | Stifel, Nicolaus & Company, Incorporated national BD | Advisory Services Network independent RIA | Palm Beach, Fl | Affiliated broker-dealer or bank to independent RIA | Jan 31, 2022 |
| 2 | J. W. Cole Advisors, Inc. independent RIA | Advisory Services Network independent RIA | Tampa, Fl +1 | RIA to RIA | Aug 27, 2021 |
| 3 | Wells Fargo Advisors wirehouse | Advisory Services Network independent RIA | Greenville, Sc | Wirehouse to independent RIA | Aug 13, 2021 |
| 2 | Raymond James Financial Services Advisors, Inc BD affiliated | Advisory Services Network independent RIA | West Palm Beach, Fl | Affiliated broker-dealer or bank to independent RIA | Jun 9, 2021 |
| 2 | Regal Investment Advisors LLC BD affiliated | Advisory Services Network independent RIA | Jupiter, Fl | Affiliated broker-dealer or bank to independent RIA | Jun 7, 2021 |
| 2 | Ae Wealth Management, LLC independent RIA | Advisory Services Network independent RIA | Honolulu, Hi +1 | RIA to RIA | Jan 13, 2021 |
| 2 | Madden Advisory Services, Inc. independent RIA | Advisory Services Network independent RIA | Jacksonville, Fl | RIA to RIA | Jun 28, 2019 |
| 2 | Eagle Strategies LLC BD affiliated | Advisory Services Network independent RIA | Houston, Tx +1 | Affiliated broker-dealer or bank to independent RIA | Jun 10, 2019 |
| 5 | Vann Equity Management LLC independent RIA | Advisory Services Network independent RIA | Gainesville, Ga | RIA to RIA | Apr 4, 2018 |
| 3 | Raymond James Financial Services Advisors, Inc other | Advisory Services Network other | Raleigh, Nc | Other | Oct 5, 2017 |
| 2 | Cambridge Investment Research Advisors, Inc. other | Advisory Services Network other | Jackson, Ms +1 | Other | Jul 10, 2017 over 4 d |
| 3 | B. Riley Wealth Advisors, Inc. other | Advisory Services Network other | Moorestown, Nj +1 | Other | Aug 31, 2016 |
| 3 | Foundations Investment Advisors LLC other | Advisory Services Network other | Phoenix, Az | Other | Mar 11, 2016 |
| 3 | Avantax Advisory Services other | Advisory Services Network other | Mount Holly, Nc +1 | Other | Jun 4, 2015 |