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 Stratos Wealth 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 | RBC Capital Markets, LLC national BD | Stratos Wealth Advisors LLC independent RIA | Reno, Nv | Affiliated broker-dealer or bank to independent RIA | Apr 10, 2024 |
| 3 | Beacon Financial Advisory LLC independent RIA | Stratos Wealth Advisors LLC independent RIA | Cleveland, Oh | RIA to RIA | Dec 14, 2023 |
| 2 | Edelman Financial Engines mixed wealth | Stratos Wealth Advisors LLC independent RIA | Fairfax, Va | RIA to RIA | Aug 27, 2021 |
| 2 | Wells Fargo Advisors wirehouse | Stratos Wealth Advisors LLC independent RIA | Pepper Pike, Oh | Wirehouse to independent RIA | Jun 14, 2021 over 2 d |
| 2 | Advice And Planning Services BD affiliated | Stratos Wealth Advisors LLC independent RIA | Philadelphia, Pa | Affiliated broker-dealer or bank to independent RIA | Mar 2, 2021 over 1 d |
| 3 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Stratos Wealth Advisors LLC independent RIA | Hingham, Ma | Wirehouse to independent RIA | Apr 29, 2019 |
| 2 | Edelman Financial Engines independent RIA | Stratos Wealth Advisors LLC independent RIA | Brentwood, Tn | RIA to RIA | Apr 29, 2019 |
| 2 | Edelman Financial Engines independent RIA | Stratos Wealth Advisors LLC independent RIA | Avon, Oh | RIA to RIA | Feb 12, 2019 |
| 2 | Edelman Financial Engines independent RIA | Stratos Wealth Advisors LLC independent RIA | Dublin, Oh | RIA to RIA | Dec 13, 2018 |
| 2 | Citizens Securities, Inc. BD affiliated | Stratos Wealth Advisors LLC independent RIA | Boston, Ma | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2018 over 3 d |
| 3 | Choreo, LLC other | Stratos Wealth Advisors LLC independent RIA | Stamford, Ct | Other | Mar 30, 2018 |
| 3 | Telemus Capital, LLC other | Stratos Wealth Advisors LLC no RAUM | Southfield, Mi +1 | Other | Mar 2, 2017 |