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 Mariner Advisor Network
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 | LPL Financial LLC BD affiliated | Mariner Advisor Network BD affiliated | Vista, Ca +1 | Affiliated broker-dealer or bank to another | May 28, 2026 |
| 2 | Stifel, Nicolaus & Company, Incorporated national BD | Mariner Advisor Network BD affiliated | Wichita, Ks | Affiliated broker-dealer or bank to another | Feb 23, 2024 |
| 2 | Teamwork Financial Advisors, LLC independent RIA | Mariner Advisor Network BD affiliated | San Antonio, Tx | RIA to affiliated broker-dealer or bank | Oct 17, 2023 |
| 2 | Osaic Fa, Inc. BD affiliated | Mariner Advisor Network BD affiliated | Denver, Co | Affiliated broker-dealer or bank to another | Jul 31, 2023 over 1 d |
| 2 | Securian Financial Services, Inc. independent RIA | Mariner Advisor Network BD affiliated | South Hill, Va +1 | RIA to affiliated broker-dealer or bank | Jun 5, 2023 over 4 d |
| 2 | Edward Jones national BD | Mariner Advisor Network independent RIA | Grass Valley, Ca | Affiliated broker-dealer or bank to independent RIA | Mar 6, 2023 over 1 d |
| 2 | Fsc Securities Corporation BD affiliated | Mariner Advisor Network independent RIA | Blue Bell, Pa | Affiliated broker-dealer or bank to independent RIA | Feb 16, 2023 |
| 2 | First Financial Equity Corporation BD affiliated | Mariner Advisor Network independent RIA | Scottsdale, Az | Affiliated broker-dealer or bank to independent RIA | Mar 10, 2022 |
| 2 | Wells Fargo Advisors wirehouse | Mariner Advisor Network independent RIA | Fremont, Ca | Wirehouse to independent RIA | Jun 2, 2021 |
| 3 | Waddell & Reed other | Mariner Advisor Network other | Seattle, Wa | Other | Nov 20, 2017 |
| 2 | Pfg Advisors other | Mariner Advisor Network other | Menlo Park, Ca +1 | Other | Oct 11, 2017 |
| 2 | LPL Financial LLC other | Mariner Advisor Network other | Walnut Creek, Ca | Other | Aug 21, 2017 |
| 2 | LPL Financial LLC other | Mariner Advisor Network other | Sacramento, Ca +1 | Other | Apr 26, 2017 |
| 2 | Wealthplan Partners other | Mariner Advisor Network other | Corona, Ca | Other | Mar 28, 2017 |
| 2 | LPL Financial LLC other | Mariner Advisor Network other | San Jose, Ca | Other | Dec 23, 2016 |
| 4 | Wealthplan Partners other | Mariner Advisor Network other | Omaha, Ne | Other | Nov 11, 2016 |