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 Arbor Point Advisors
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 | Ameriprise Financial Services, LLC national BD | Arbor Point Advisors BD affiliated | Cottleville, Mo | Affiliated broker-dealer or bank to another | Mar 25, 2022 over 4 d |
| 4 | Ameriprise Financial Services, LLC national BD | Arbor Point Advisors BD affiliated | The Woodlands, Tx | Affiliated broker-dealer or bank to another | Aug 2, 2021 |
| 5 | Cedar Brook Group independent RIA | Arbor Point Advisors BD affiliated | Cleveland, Oh | RIA to affiliated broker-dealer or bank | Apr 21, 2021 |
| 4 | Cedar Brook Group independent RIA | Arbor Point Advisors BD affiliated | Cleveland, Oh | RIA to affiliated broker-dealer or bank | Mar 16, 2021 |
| 3 | Ameriprise Financial Services, LLC national BD | Arbor Point Advisors BD affiliated | Durham, Nc +1 | Affiliated broker-dealer or bank to another | Nov 20, 2020 over 4 d |
| 2 | Verus Capital Partners, LLC independent RIA | Arbor Point Advisors BD affiliated | South Jordan, Ut | RIA to affiliated broker-dealer or bank | Oct 16, 2020 |
| 2 | Cetera Investment Advisers LLC BD affiliated | Arbor Point Advisors BD affiliated | Auburn, Al | Affiliated broker-dealer or bank to another | Nov 22, 2019 |
| 2 | Summit Financial Group Inc BD affiliated | Arbor Point Advisors BD affiliated | Auburn, Al | Affiliated broker-dealer or bank to another | Oct 24, 2019 |
| 7 | Ameriprise Financial Services, LLC national BD | Arbor Point Advisors BD affiliated | Middleton, Wi | Affiliated broker-dealer or bank to another | Oct 16, 2019 over 2 d |
| 6 | Ameriprise Financial Services, LLC national BD | Arbor Point Advisors BD affiliated | Chesterfield, Mo +3 | Affiliated broker-dealer or bank to another | Jan 3, 2019 over 8 d |
| 2 | United Advisors independent RIA | Arbor Point Advisors BD affiliated | Stevensville, Md +1 | RIA to affiliated broker-dealer or bank | Apr 13, 2018 |
| 2 | Summit Financial Group Inc other | Arbor Point Advisors other | Leawood, Ks | Other | Oct 5, 2017 |
| 9 | Foothill Securities, Inc. other | Arbor Point Advisors other | Santa Clara, Ca | Other | Dec 8, 2016 |
| 2 | Jk Investment Group, Inc. unclassified | Arbor Point Advisors other | Cleveland, Oh +1 | Other | Jun 30, 2016 |