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 Thrivent Investment Management Inc.
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 | Strategic Advisers LLC national BD | Thrivent Investment Management Inc. BD affiliated | Boston, Ma | Affiliated broker-dealer or bank to another | Apr 4, 2025 over 5 d |
| 2 | Charles Schwab & Co., Inc. national BD | Thrivent Investment Management Inc. BD affiliated | Atlanta, Ga +1 | Affiliated broker-dealer or bank to another | Apr 12, 2024 over 6 d |
| 2 | LPL Financial LLC BD affiliated | Thrivent Investment Management Inc. BD affiliated | Columbus, In +1 | Affiliated broker-dealer or bank to another | Mar 26, 2024 over 6 d |
| 2 | Ameriprise Financial Services, LLC national BD | Thrivent Investment Management Inc. BD affiliated | Minneapolis, Mn | Affiliated broker-dealer or bank to another | Jun 15, 2021 over 6 d |
| 2 | Edward Jones national BD | Thrivent Investment Management Inc. BD affiliated | St Louis, Mo | Affiliated broker-dealer or bank to another | Oct 8, 2018 over 14 d |
| 2 | Scottrade Investment Management BD affiliated | Thrivent Investment Management Inc. other | Saint Louis, Mo | Other | Mar 7, 2018 over 2 d |
| 2 | Ameriprise Financial Services, LLC national BD | Thrivent Investment Management Inc. other | Eden Prairie, Mn +1 | Other | Jul 26, 2017 over 14 d |
| 2 | Ameriprise Financial Services, LLC national BD | Thrivent Investment Management Inc. other | Minneapolis, Mn +1 | Other | Feb 23, 2017 over 5 d |
| 2 | Ameriprise Financial Services, LLC national BD | Thrivent Investment Management Inc. other | Minneapolis, Mn | Other | Feb 8, 2016 |
| 3 | Ameriprise Financial Services, LLC national BD | Thrivent Investment Management Inc. other | Minneapolis, Mn +1 | Other | Nov 19, 2015 over 20 d |