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 Osaic Advisory Services, 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	Cetera Investment Advisers LLC BD affiliated	Osaic Advisory Services, LLC BD affiliated	Sandy, Ut +1	Affiliated broker-dealer or bank to another	Jul 29, 2026 over 8 d
12	Pfg Advisors independent RIA	Osaic Advisory Services, LLC BD affiliated	Meridian, Id +2	RIA to affiliated broker-dealer or bank	Nov 1, 2025 over 9 d
2	Osaic Wealth, Inc. BD affiliated	Osaic Advisory Services, LLC BD affiliated	Southlake, Tx	Affiliated broker-dealer or bank to another	Jun 5, 2025 over 1 d
2	Spc BD affiliated	Osaic Advisory Services, LLC BD affiliated	Ann Arbor, Mi	Affiliated broker-dealer or bank to another	Oct 28, 2024
28	American Portfolios Advisors, Inc BD affiliated	Osaic Advisory Services, LLC BD affiliated	Holbrook, Ny	Affiliated broker-dealer or bank to another	Oct 11, 2024
6	Osaic Wealth, Inc. BD affiliated	Osaic Advisory Services, LLC BD affiliated	Scottsdale, Az	Affiliated broker-dealer or bank to another	Oct 11, 2024
6	Osaic Wealth, Inc. BD affiliated	Osaic Advisory Services, LLC BD affiliated	Boca Raton, Fl +2	Affiliated broker-dealer or bank to another	Oct 11, 2024
3	Osaic Wealth, Inc. BD affiliated	Osaic Advisory Services, LLC BD affiliated	Staten Island, Ny +2	Affiliated broker-dealer or bank to another	Oct 11, 2024
2	Triad Advisors, LLC BD affiliated	Osaic Advisory Services, LLC BD affiliated	Atlanta, Ga	Affiliated broker-dealer or bank to another	Aug 23, 2024 over 4 d
2	Spc BD affiliated	Osaic Advisory Services, LLC BD affiliated	Chesterfield, Mi +1	Affiliated broker-dealer or bank to another	Jun 14, 2024
2	Spc BD affiliated	Osaic Advisory Services, LLC BD affiliated	Greencastle, In	Affiliated broker-dealer or bank to another	May 31, 2024
2	Waterway Wealth Management, L.L.C. independent RIA	Osaic Advisory Services, LLC BD affiliated	The Woodlands, Tx	RIA to affiliated broker-dealer or bank	Apr 15, 2024
2	Moore Wealth Management L.L.C. unclassified	Osaic Advisory Services, LLC BD affiliated	Renton, Wa +1	Other	Mar 12, 2024
4	Ameriprise Financial Services, LLC national BD	Osaic Advisory Services, LLC BD affiliated	Pueblo, Co	Affiliated broker-dealer or bank to another	Jan 18, 2024 over 4 d
4	Creative Planning Institutional Advisors, LLC institutional	Osaic Advisory Services, LLC BD affiliated	Newport Beach, Ca	Other	Jan 5, 2024
2	Creative Planning Institutional Advisors, LLC institutional	Osaic Advisory Services, LLC BD affiliated	Bloomfield Hills, Mi	Other	Jan 5, 2024
2	Spc BD affiliated	Osaic Advisory Services, LLC BD affiliated	Englewood, Co	Affiliated broker-dealer or bank to another	Nov 10, 2023
2	Spc BD affiliated	Osaic Advisory Services, LLC BD affiliated	Ypsilanti, Mi +1	Affiliated broker-dealer or bank to another	Oct 30, 2023 over 11 d
6	United Capital Financial Advisors BD affiliated	Osaic Advisory Services, LLC BD affiliated	Ft Lauderdale, Fl +1	Affiliated broker-dealer or bank to another	Oct 20, 2023 over 14 d
2	Spc BD affiliated	Osaic Advisory Services, LLC BD affiliated	Colorado Springs, Co +1	Affiliated broker-dealer or bank to another	May 18, 2023
2	Sequoia Wealth Management, LLC independent RIA	Osaic Advisory Services, LLC BD affiliated	Barrington, Il	RIA to affiliated broker-dealer or bank	Apr 30, 2021
4	Commonwealth Financial Network national BD	Osaic Advisory Services, LLC BD affiliated	West Chester, Pa +1	Affiliated broker-dealer or bank to another	Jan 19, 2021 over 1 d
2	Oarsman Capital, Inc independent RIA	Osaic Advisory Services, LLC BD affiliated	Milwaukee, Wi	RIA to affiliated broker-dealer or bank	Dec 31, 2020
2	Wells Fargo Advisors wirehouse	Osaic Advisory Services, LLC BD affiliated	Southlake, Tx	Wirehouse to affiliated broker-dealer or bank	Nov 19, 2020
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Osaic Advisory Services, LLC BD affiliated	New York, Ny	Wirehouse to affiliated broker-dealer or bank	Nov 18, 2020 over 1 d
2	Raymond James Financial Services Advisors, Inc BD affiliated	Osaic Advisory Services, LLC BD affiliated	Greenville, Sc	Affiliated broker-dealer or bank to another	Jun 25, 2020
2	Principal Securities, Inc. BD affiliated	Osaic Advisory Services, LLC BD affiliated	Bend, Or	Affiliated broker-dealer or bank to another	Jun 11, 2020
2	Voya Financial Advisors, Inc. BD affiliated	Osaic Advisory Services, LLC BD affiliated	Greenville, Sc	Affiliated broker-dealer or bank to another	Feb 26, 2020 over 9 d
3	Kestra Advisory Services, LLC BD affiliated	Osaic Advisory Services, LLC BD affiliated	Greensboro, Nc	Affiliated broker-dealer or bank to another	Sep 30, 2019
5	Sequoia Wealth Management, LLC independent RIA	Osaic Advisory Services, LLC BD affiliated	Barrington, Il +1	RIA to affiliated broker-dealer or bank	Sep 26, 2019
2	M Holdings Securities, Inc. BD affiliated	Osaic Advisory Services, LLC BD affiliated	El Paso, Tx	Affiliated broker-dealer or bank to another	Aug 30, 2019
3	Spire Wealth Management, LLC BD affiliated	Osaic Advisory Services, LLC BD affiliated	Mclean, Va	Affiliated broker-dealer or bank to another	May 14, 2019
7	Wells Fargo Advisors wirehouse	Osaic Advisory Services, LLC independent RIA	Wormleysburg, Pa	Wirehouse to independent RIA	Nov 5, 2018 over 4 d
2	Geneos Wealth Management, Inc. BD affiliated	Osaic Advisory Services, LLC independent RIA	Gettysburg, Pa	Affiliated broker-dealer or bank to independent RIA	Nov 1, 2018 over 5 d
2	Foothill Securities, Inc. other	Osaic Advisory Services, LLC other	San Ramon, Ca	Other	Dec 31, 2016
3	Wells Fargo Advisors wirehouse	Osaic Advisory Services, LLC other	Knoxville, Tn	Other	Aug 1, 2016 over 1 d
2	Wells Fargo Advisors wirehouse	Osaic Advisory Services, LLC other	Johnson City, Tn	Other	Jun 1, 2016
2	Wells Fargo Advisors wirehouse	Osaic Advisory Services, LLC other	Radnor, Pa +1	Other	Jan 19, 2016
2	Pension Builders And Consultants other	Osaic Advisory Services, LLC other	Rocky River, Oh	Other	Dec 31, 2015

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39 teams match.derived from registration dates