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 Td Private Client Wealth 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 | Morgan Stanley wirehouse | Td Private Client Wealth LLC BD affiliated | New York, Ny +1 | Wirehouse to affiliated broker-dealer or bank | Aug 4, 2026 over 14 d |
| 2 | Equitable Advisors, LLC national BD | Td Private Client Wealth LLC BD affiliated | Melville, Ny +1 | Affiliated broker-dealer or bank to another | Jul 15, 2026 |
| 2 | Equitable Advisors, LLC national BD | Td Private Client Wealth LLC BD affiliated | New York, Ny +1 | Affiliated broker-dealer or bank to another | May 21, 2026 over 7 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Td Private Client Wealth LLC BD affiliated | Short Hills, Nj +1 | Wirehouse to affiliated broker-dealer or bank | May 6, 2026 over 13 d |
| 2 | Charles Schwab & Co., Inc. national BD | Td Private Client Wealth LLC BD affiliated | Boca Raton, Fl +1 | Affiliated broker-dealer or bank to another | Jan 3, 2024 over 7 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Td Private Client Wealth LLC BD affiliated | Miami, Fl | Wirehouse to affiliated broker-dealer or bank | Sep 1, 2023 over 8 d |
| 2 | E*Trade Capital Management, LLC independent RIA | Td Private Client Wealth LLC BD affiliated | Garden City, Ny +1 | RIA to affiliated broker-dealer or bank | Aug 18, 2023 over 3 d |
| 2 | Wells Fargo Advisors wirehouse | Td Private Client Wealth LLC BD affiliated | Miami, Fl +1 | Wirehouse to affiliated broker-dealer or bank | Jun 6, 2022 over 8 d |
| 2 | Citigroup Global Markets Inc. BD affiliated | Td Private Client Wealth LLC BD affiliated | Uniondale, Ny +1 | Affiliated broker-dealer or bank to another | Oct 20, 2021 over 2 d |
| 2 | Td Ameritrade Investment Management, LLC independent RIA | Td Private Client Wealth LLC BD affiliated | Garden City, Ny +1 | RIA to affiliated broker-dealer or bank | Dec 31, 2020 |