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 Mutual 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 |
|---|---|---|---|---|---|
| 5 | Commonwealth Financial Network national BD | Mutual Advisors, LLC BD affiliated | Scottsdale, Az +1 | Affiliated broker-dealer or bank to another | Jul 18, 2025 over 5 d |
| 2 | Prime Capital Financial mixed wealth | Mutual Advisors, LLC BD affiliated | Overland Park, Ks | RIA to affiliated broker-dealer or bank | Oct 2, 2024 |
| 2 | Eagle Strategies LLC BD affiliated | Mutual Advisors, LLC BD affiliated | Grand Rapids, Mi | Affiliated broker-dealer or bank to another | Mar 22, 2023 over 1 d |
| 4 | LPL Financial LLC independent RIA | Mutual Advisors, LLC BD affiliated | Mercer Island, Wa | RIA to affiliated broker-dealer or bank | Aug 29, 2022 over 4 d |
| 2 | Eagle Strategies LLC BD affiliated | Mutual Advisors, LLC BD affiliated | Grand Rapids, Mi | Affiliated broker-dealer or bank to another | Nov 8, 2021 |
| 2 | Visionary Wealth Advisors, LLC independent RIA | Mutual Advisors, LLC BD affiliated | St Louis, Mo | RIA to affiliated broker-dealer or bank | Mar 13, 2021 over 6 d |
| 4 | Valmark Advisers, Inc. mixed wealth | Mutual Advisors, LLC BD affiliated | Mequon, Wi +1 | RIA to affiliated broker-dealer or bank | Dec 21, 2020 |
| 2 | Janney Montgomery Scott LLC BD affiliated | Mutual Advisors, LLC BD affiliated | West Hartford, Ct | Affiliated broker-dealer or bank to another | Oct 2, 2019 |
| 3 | Principal Securities, Inc. BD affiliated | Mutual Advisors, LLC BD affiliated | Minneapolis, Mn +2 | Affiliated broker-dealer or bank to another | Jun 10, 2019 over 9 d |
| 2 | First Allied Advisory Services, Inc. BD affiliated | Mutual Advisors, LLC BD affiliated | El Segundo, Ca | Affiliated broker-dealer or bank to another | May 6, 2019 |
| 4 | Waddell & Reed BD affiliated | Mutual Advisors, LLC BD affiliated | San Jose, Ca | Affiliated broker-dealer or bank to another | Aug 16, 2018 |
| 2 | LPL Financial LLC independent RIA | Mutual Advisors, LLC BD affiliated | Camarillo, Ca | RIA to affiliated broker-dealer or bank | Jun 8, 2018 |
| 3 | First Heartland Consultants, Inc. BD affiliated | Mutual Advisors, LLC BD affiliated | St Louis, Mo | Affiliated broker-dealer or bank to another | Apr 13, 2018 |
| 2 | Financial Security Management, Inc other | Mutual Advisors, LLC BD affiliated | Lakewood, Co | Other | Nov 2, 2017 |
| 2 | Investment Centers Of America, Inc. other | Mutual Advisors, LLC BD affiliated | Rotan, Tx | Other | Oct 12, 2017 |
| 2 | Whitehouse Wealth Management unclassified | Mutual Advisors, LLC other | Vancouver, Wa | Other | Jan 19, 2017 |
| 2 | Cetera Advisor Networks LLC other | Mutual Advisors, LLC other | Spokane, Wa +1 | Other | Sep 26, 2016 |
| 3 | Beverly Hills Wealth Management, LLC other | Mutual Advisors, LLC other | Beverly Hills, Ca | Other | Mar 3, 2016 |