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 Securian 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 |
|---|---|---|---|---|---|
| 2 | Northwestern Mutual Investment Services,LLC no RAUM | Securian Financial Services, Inc. BD affiliated | Middleton, Wi | Other | Jun 15, 2021 |
| 3 | Joyn Advisors, Inc. independent RIA | Securian Financial Services, Inc. BD affiliated | Atlanta, Ga | RIA to affiliated broker-dealer or bank | Apr 30, 2020 |
| 2 | Pruco Securities, LLC BD affiliated | Securian Financial Services, Inc. BD affiliated | Atlanta, Ga | Affiliated broker-dealer or bank to another | Feb 20, 2020 over 6 d |
| 2 | Camarda Wealth Advisory Group independent RIA | Securian Financial Services, Inc. BD affiliated | Fleming Island, Fl | RIA to affiliated broker-dealer or bank | Aug 29, 2018 over 2 d |
| 4 | MML Investors Services, LLC BD affiliated | Securian Financial Services, Inc. BD affiliated | Florence, Al +1 | Affiliated broker-dealer or bank to another | May 10, 2018 over 7 d |
| 2 | MML Investors Services, LLC other | Securian Financial Services, Inc. other | Richmond, Va | Other | Feb 16, 2018 |
| 3 | MML Investors Services, LLC other | Securian Financial Services, Inc. other | Roseland, Nj | Other | Jul 19, 2017 over 1 d |
| 2 | First Command Advisory Services other | Securian Financial Services, Inc. other | Fort Worth, Tx | Other | Dec 7, 2016 |
| 2 | Wells Fargo Advisors wirehouse | Securian Financial Services, Inc. other | Short Hills, Nj | Other | Nov 29, 2016 |
| 2 | Equitable Advisors, LLC national BD | Securian Financial Services, Inc. other | Colorado Spring, Co +1 | Other | Sep 12, 2016 |
| 2 | Msi Financial Services, Inc. other | Securian Financial Services, Inc. other | San Ramon, Ca | Other | Feb 20, 2015 over 11 d |