DFX Intelligence
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.
Advisor teams
Teams that joined Cwm, LLC
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 | Pinnacle Wealth Management, LLC independent RIA | Cwm, LLC BD affiliated | Carmichael, Ca +1 | RIA to affiliated broker-dealer or bank | Sep 9, 2026 |
| 2 | Northwestern Mutual Investment Services,LLC no RAUM | Cwm, LLC BD affiliated | Atlanta, Ga | Other | Aug 17, 2026 over 3 d |
| 7 | Wells Fargo Advisors wirehouse | Cwm, LLC BD affiliated | Lebanon, Nh | Wirehouse to affiliated broker-dealer or bank | Aug 5, 2026 |
| 2 | LPL Financial LLC BD affiliated | Cwm, LLC BD affiliated | Springdale, Ar +1 | Affiliated broker-dealer or bank to another | Jun 3, 2026 |
| 2 | LPL Financial LLC BD affiliated | Cwm, LLC BD affiliated | Edmond, Ok | Affiliated broker-dealer or bank to another | Jun 1, 2026 over 2 d |
| 2 | LPL Financial LLC BD affiliated | Cwm, LLC BD affiliated | Neligh, Ne | Affiliated broker-dealer or bank to another | Mar 10, 2026 |
| 2 | LPL Financial LLC BD affiliated | Cwm, LLC BD affiliated | Kyle, Tx +1 | Affiliated broker-dealer or bank to another | Oct 22, 2025 |
| 2 | Wells Fargo Advisors wirehouse | Cwm, LLC BD affiliated | El Dorado Hills, Ca +1 | Wirehouse to affiliated broker-dealer or bank | Jan 28, 2025 |
| 3 | Haussmann Financial Inc. independent RIA | Cwm, LLC BD affiliated | Lake Forest, Ca | RIA to affiliated broker-dealer or bank | Jan 17, 2025 |
| 2 | American Portfolios Advisors, Inc BD affiliated | Cwm, LLC BD affiliated | Holbrook, Ny | Affiliated broker-dealer or bank to another | Oct 3, 2024 over 1 d |
| 3 | Planmember Securities Corporation independent RIA | Cwm, LLC BD affiliated | Amarillo, Tx | RIA to affiliated broker-dealer or bank | Jul 25, 2024 |
| 3 | Elk River Wealth Management LLC independent RIA | Cwm, LLC BD affiliated | Omaha, Ne | RIA to affiliated broker-dealer or bank | Feb 16, 2024 |
| 7 | Onedigital institutional | Cwm, LLC BD affiliated | Overland Park, Ks | Other | Jan 31, 2024 |
| 2 | Buckley Investment Group, LLC independent RIA | Cwm, LLC BD affiliated | Walla Walla, Wa | RIA to affiliated broker-dealer or bank | Dec 11, 2023 |
| 2 | Fai Wealth Management independent RIA | Cwm, LLC BD affiliated | Columbia, Md | RIA to affiliated broker-dealer or bank | Dec 4, 2023 |
| 2 | Woodbury Financial Services, Inc. BD affiliated | Cwm, LLC BD affiliated | Milton, Ga | Affiliated broker-dealer or bank to another | Nov 1, 2023 |
| 2 | Wolf Money Management, Inc. independent RIA | Cwm, LLC BD affiliated | Palm Coast, Fl +1 | RIA to affiliated broker-dealer or bank | Oct 20, 2023 |
| 2 | Aam Fee-Only Financial Planning And Investment Advisory, LLC independent RIA | Cwm, LLC BD affiliated | Grandville, Mi | RIA to affiliated broker-dealer or bank | Jul 5, 2023 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Cwm, LLC BD affiliated | Cedar Rapids, Ia | Affiliated broker-dealer or bank to another | Jun 29, 2023 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Cwm, LLC BD affiliated | Austin, Tx +1 | Affiliated broker-dealer or bank to another | Jun 29, 2023 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Cwm, LLC BD affiliated | Dinuba, Ca +1 | Affiliated broker-dealer or bank to another | Jun 16, 2023 over 13 d |
| 2 | Kestra Advisory Services, LLC BD affiliated | Cwm, LLC BD affiliated | South Boston, Ma +1 | Affiliated broker-dealer or bank to another | Feb 28, 2023 |
| 2 | Raymond James Financial Services Advisors, Inc BD affiliated | Cwm, LLC BD affiliated | Pella, Ia | Affiliated broker-dealer or bank to another | Sep 12, 2022 over 14 d |
| 5 | LPL Financial LLC independent RIA | Cwm, LLC BD affiliated | Houston, Tx | RIA to affiliated broker-dealer or bank | Jul 28, 2022 over 11 d |
| 2 | Diamond Wealth Advisors independent RIA | Cwm, LLC BD affiliated | Carlisle, Pa | RIA to affiliated broker-dealer or bank | May 20, 2022 |
| 2 | Integrated Wealth Management, LLC independent RIA | Cwm, LLC BD affiliated | Scottsdale, Az | RIA to affiliated broker-dealer or bank | Jan 26, 2022 |
| 3 | Spc BD affiliated | Cwm, LLC BD affiliated | Ann Arbor, Mi +1 | Affiliated broker-dealer or bank to another | Aug 24, 2021 |
| 2 | Wealthcare Advisory Partners LLC independent RIA | Cwm, LLC BD affiliated | Downingtown, Pa +1 | RIA to affiliated broker-dealer or bank | Jul 13, 2021 |
| 2 | Gitterman Wealth Management, LLC independent RIA | Cwm, LLC BD affiliated | Edison, Nj | RIA to affiliated broker-dealer or bank | Mar 8, 2021 |
| 2 | Financial Management, Inc. independent RIA | Cwm, LLC BD affiliated | Yakima, Wa | RIA to affiliated broker-dealer or bank | Dec 2, 2020 |
| 2 | MML Investors Services, LLC BD affiliated | Cwm, LLC BD affiliated | Needham, Ma | Affiliated broker-dealer or bank to another | Oct 26, 2020 |
| 4 | LPL Financial LLC BD affiliated | Cwm, LLC BD affiliated | Irvine, Ca +2 | Affiliated broker-dealer or bank to another | Oct 8, 2020 over 13 d |
| 2 | Financial Management, Inc. independent RIA | Cwm, LLC BD affiliated | Yakima, Wa | RIA to affiliated broker-dealer or bank | Sep 28, 2020 |
| 2 | LPL Financial LLC BD affiliated | Cwm, LLC BD affiliated | Naperville, Il | Affiliated broker-dealer or bank to another | Jul 13, 2020 |
| 2 | Chessman Wealth Strategies independent RIA | Cwm, LLC BD affiliated | Dallas, Tx | RIA to affiliated broker-dealer or bank | Mar 30, 2020 |
| 2 | Navion Financial Advisors, LLC unclassified | Cwm, LLC BD affiliated | Davis, Ca | Other | Jan 2, 2020 |
| 4 | Private Advisor Group, LLC independent RIA | Cwm, LLC BD affiliated | Morristown, Nj | RIA to affiliated broker-dealer or bank | Nov 12, 2019 |
| 2 | Srq Wealth Advisory, LLC unclassified | Cwm, LLC BD affiliated | Sarasota, Fl | Other | Oct 31, 2019 |
| 2 | Mid Atlantic Financial Management, Inc. BD affiliated | Cwm, LLC BD affiliated | Wexford, Pa | Affiliated broker-dealer or bank to another | Oct 18, 2019 |
| 2 | LPL Financial LLC BD affiliated | Cwm, LLC BD affiliated | W Roxbury, Ma | Affiliated broker-dealer or bank to another | Sep 25, 2019 |
| 3 | LPL Financial LLC BD affiliated | Cwm, LLC BD affiliated | Half Moon Bay, Ca +1 | Affiliated broker-dealer or bank to another | Aug 26, 2019 |
| 2 | Abaris Financial Group, LLC independent RIA | Cwm, LLC BD affiliated | Concord, Ma | RIA to affiliated broker-dealer or bank | Jun 17, 2019 |
| 3 | Cadaret Grant & Co Inc BD affiliated | Cwm, LLC BD affiliated | Indianapolis, In | Affiliated broker-dealer or bank to another | Jun 14, 2019 |
| 7 | Waddell & Reed BD affiliated | Cwm, LLC BD affiliated | Wichita, Ks | Affiliated broker-dealer or bank to another | May 31, 2019 over 5 d |
| 3 | Waddell & Reed BD affiliated | Cwm, LLC BD affiliated | Edmond, Ok | Affiliated broker-dealer or bank to another | May 31, 2019 over 3 d |
| 4 | LPL Financial LLC independent RIA | Cwm, LLC independent RIA | Baton Rouge, La +1 | RIA to RIA | Apr 9, 2019 over 6 d |
| 3 | LPL Financial LLC independent RIA | Cwm, LLC independent RIA | Burgettstwon, Pa | RIA to RIA | Apr 8, 2019 over 1 d |
| 2 | Wells Fargo Advisors wirehouse | Cwm, LLC independent RIA | Clive, Ia +1 | Wirehouse to independent RIA | Jan 8, 2019 |
| 2 | Kabarec Financial Advisors Ltd independent RIA | Cwm, LLC independent RIA | Palatine, Il | RIA to RIA | Dec 31, 2018 |
| 3 | Cambridge Investment Research Advisors, Inc. BD affiliated | Cwm, LLC independent RIA | Green Bay, Wi | Affiliated broker-dealer or bank to independent RIA | Dec 5, 2018 |
| 2 | Cadwell Wealth Asset Management, LLC unclassified | Cwm, LLC independent RIA | Celebration, Fl +1 | Other | Nov 26, 2018 over 4 d |
| 2 | Financial Advocates Investment Management independent RIA | Cwm, LLC independent RIA | Olympia, Wa | RIA to RIA | Oct 1, 2018 |
| 2 | First Financial Equity Corporation BD affiliated | Cwm, LLC independent RIA | Burleson, Tx | Affiliated broker-dealer or bank to independent RIA | Sep 4, 2018 |
| 2 | Waddell & Reed BD affiliated | Cwm, LLC independent RIA | Charleroi, Pa | Affiliated broker-dealer or bank to independent RIA | Aug 29, 2018 over 1 d |
| 2 | Harbour Investments, Inc. independent RIA | Cwm, LLC independent RIA | Deforest, Wi | RIA to RIA | Jul 19, 2018 |
| 4 | LPL Financial LLC independent RIA | Cwm, LLC independent RIA | Fort Atkinson, Wi | RIA to RIA | Jun 20, 2018 over 8 d |
| 2 | Private Advisor Group, LLC independent RIA | Cwm, LLC independent RIA | Cedar Rapids, Ia | RIA to RIA | Apr 30, 2018 |
| 3 | LPL Financial LLC independent RIA | Cwm, LLC independent RIA | Grand Rapids, Mi | RIA to RIA | Apr 16, 2018 |
| 3 | LPL Financial LLC independent RIA | Cwm, LLC independent RIA | Sioux Falls, Sd | RIA to RIA | Mar 21, 2018 |
| 3 | Ifg Advisory, LLC other | Cwm, LLC independent RIA | Atlanta, Ga | Other | Mar 19, 2018 |
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73 teams match.derived from registration dates