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 Lion Street Advisors, 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 |
|---|---|---|---|---|---|
| 4 | J.P. Morgan Securities LLC wirehouse | Lion Street Advisors, LLC BD affiliated | Manhattan Beach, Ca +3 | Wirehouse to affiliated broker-dealer or bank | Aug 1, 2024 |
| 2 | Park Avenue Securities LLC BD affiliated | Lion Street Advisors, LLC BD affiliated | Beachwood, Oh | Affiliated broker-dealer or bank to another | Jul 31, 2023 |
| 2 | Pruco Securities, LLC BD affiliated | Lion Street Advisors, LLC BD affiliated | Sunbury, Oh | Affiliated broker-dealer or bank to another | Jul 14, 2023 over 3 d |
| 2 | Ameritas Advisory Services BD affiliated | Lion Street Advisors, LLC BD affiliated | Glendale, Az | Affiliated broker-dealer or bank to another | May 17, 2021 over 2 d |
| 3 | M Holdings Securities, Inc. BD affiliated | Lion Street Advisors, LLC BD affiliated | Lake Forest, Ca | Affiliated broker-dealer or bank to another | May 4, 2020 |
| 2 | M Holdings Securities, Inc. BD affiliated | Lion Street Advisors, LLC BD affiliated | Highland, Ut +1 | Affiliated broker-dealer or bank to another | May 4, 2020 |
| 2 | Kestra Advisory Services, LLC BD affiliated | Lion Street Advisors, LLC BD affiliated | Austin, Tx | Affiliated broker-dealer or bank to another | Mar 28, 2020 |
| 2 | Kestra Advisory Services, LLC BD affiliated | Lion Street Advisors, LLC BD affiliated | Dallas, Tx | Affiliated broker-dealer or bank to another | Sep 10, 2019 |
| 3 | Ameritas Advisory Services BD affiliated | Lion Street Advisors, LLC BD affiliated | San Ramon, Ca | Affiliated broker-dealer or bank to another | Aug 2, 2019 |
| 2 | Fsc Securities Corporation BD affiliated | Lion Street Advisors, LLC BD affiliated | Memphis, Tn +1 | Affiliated broker-dealer or bank to another | Jul 31, 2018 |
| 4 | Hornor, Townsend & Kent, LLC BD affiliated | Lion Street Advisors, LLC BD affiliated | Bellevue, Wa +1 | Affiliated broker-dealer or bank to another | Jun 21, 2018 over 1 d |
| 2 | Wintrust Investments other | Lion Street Advisors, LLC other | Naperville, Il | Other | Aug 4, 2017 over 3 d |
| 4 | Woodbury Financial Services, Inc. other | Lion Street Advisors, LLC other | Tyler, Tx | Other | Apr 28, 2017 over 3 d |
| 2 | Woodbury Financial Services, Inc. other | Lion Street Advisors, LLC other | Galena, Il +1 | Other | Feb 3, 2017 |
| 2 | Kestra Advisory Services, LLC other | Lion Street Advisors, LLC other | Newton, Ma | Other | Feb 2, 2017 |
| 2 | Kestra Advisory Services, LLC other | Lion Street Advisors, LLC other | Austin, Tx | Other | Feb 2, 2017 |
| 4 | Woodbury Financial Services, Inc. other | Lion Street Advisors, LLC other | Lake Oswego, Or | Other | Jan 4, 2017 |
| 2 | Woodbury Financial Services, Inc. other | Lion Street Advisors, LLC other | Waco, Tx | Other | Sep 27, 2016 |
| 2 | Wfg Advisors, LP other | Lion Street Advisors, LLC other | Prairie Village, Ks | Other | Aug 19, 2015 |