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 Triad 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 |
|---|---|---|---|---|---|
| 2 | Capital Asset Management Corporation other | Triad Advisors, LLC BD affiliated | Raleigh, Nc | Other | Dec 13, 2023 |
| 2 | Lewellyn Financial Management unclassified | Triad Advisors, LLC BD affiliated | Medford, Or | Other | Nov 29, 2022 |
| 3 | Planning Solutions Group, LLC independent RIA | Triad Advisors, LLC BD affiliated | Fulton, Md | RIA to affiliated broker-dealer or bank | Sep 10, 2019 |
| 3 | Southbridge independent RIA | Triad Advisors, LLC BD affiliated | Marrietta, Ga | RIA to affiliated broker-dealer or bank | Aug 14, 2019 |
| 2 | J.J.B. Hilliard, W.L. Lyons, LLC independent RIA | Triad Advisors, LLC BD affiliated | Ann Arbor, Mi | RIA to affiliated broker-dealer or bank | Apr 1, 2019 |
| 2 | Gwn Securities Inc. other | Triad Advisors, LLC other | Somerville, Nj +1 | Other | Aug 16, 2017 over 1 d |
| 2 | Vsr Advisory Services other | Triad Advisors, LLC other | Overland Park, Ks | Other | Aug 1, 2016 |
| 2 | Investors Capital Advisory other | Triad Advisors, LLC other | Lynnfield, Ma | Other | Feb 2, 2016 |
| 2 | Capital Guardian Wealth Management, LLC other | Triad Advisors, LLC other | Raleigh, Nc | Other | Nov 17, 2015 |