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 Fidelity Personal And Workplace Advisors

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	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	San Jose, Ca +1	Wirehouse to affiliated broker-dealer or bank	Dec 9, 2024 over 10 d
2	LPL Financial LLC BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Missouri City, Tx +1	Affiliated broker-dealer or bank to another	Nov 7, 2024
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	San Mateo, Ca +1	Affiliated broker-dealer or bank to another	Oct 11, 2024
3	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Alta Loma, Ca +2	Wirehouse to affiliated broker-dealer or bank	Aug 30, 2024 over 19 d
2	Vanguard Advisers, Inc. BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Malvern, Pa	Affiliated broker-dealer or bank to another	Aug 22, 2024 over 7 d
2	Morgan Stanley wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Newport Beach, Ca +1	Wirehouse to affiliated broker-dealer or bank	Aug 15, 2024 over 14 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	El Segundo, Ca +1	Wirehouse to affiliated broker-dealer or bank	Jul 29, 2024 over 13 d
2	Ameriprise Financial Services, LLC national BD	Fidelity Personal And Workplace Advisors BD affiliated	Las Vegas, Nv	Affiliated broker-dealer or bank to another	Jul 25, 2024 over 14 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Greeley, Co +1	Wirehouse to affiliated broker-dealer or bank	Jul 3, 2024 over 8 d
2	Morgan Stanley wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Jersey City, Nj	Wirehouse to affiliated broker-dealer or bank	Jun 12, 2024
2	Pruco Securities, LLC BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Marlborough, Ma +1	Affiliated broker-dealer or bank to another	Jun 11, 2024 over 1 d
2	J.P. Morgan Securities LLC wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Greenvale, Ny +1	Wirehouse to affiliated broker-dealer or bank	Jun 4, 2024 over 9 d
2	UBS Financial Services Inc. wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Weehawken, Nj	Wirehouse to affiliated broker-dealer or bank	May 28, 2024 over 6 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Scottsdale, Az +1	Wirehouse to affiliated broker-dealer or bank	May 22, 2024 over 1 d
2	Edward Jones national BD	Fidelity Personal And Workplace Advisors BD affiliated	Westlake Village, Ca +1	Affiliated broker-dealer or bank to another	May 10, 2024 over 11 d
3	UBS Financial Services Inc. wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Irvine, Ca +2	Wirehouse to affiliated broker-dealer or bank	May 6, 2024 over 16 d
2	Morgan Stanley wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Purchase, Ny	Wirehouse to affiliated broker-dealer or bank	May 3, 2024 over 13 d
2	LPL Financial LLC BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	San Jose, Ca +1	Affiliated broker-dealer or bank to another	Apr 17, 2024 over 8 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	New York, Ny +1	Wirehouse to affiliated broker-dealer or bank	Apr 12, 2024 over 5 d
2	Pruco Securities, LLC BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Uniontown, Oh +1	Affiliated broker-dealer or bank to another	Apr 4, 2024 over 12 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Plantation, Fl +1	Affiliated broker-dealer or bank to another	Mar 25, 2024 over 11 d
3	Vanguard Advisers, Inc. BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Malvern, Pa	Affiliated broker-dealer or bank to another	Mar 22, 2024 over 5 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	San Diego, Ca	Affiliated broker-dealer or bank to another	Mar 20, 2024 over 1 d
3	Morgan Stanley wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Sandy, Ut	Wirehouse to affiliated broker-dealer or bank	Mar 7, 2024 over 1 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	El Cerrito, Ca +1	Wirehouse to affiliated broker-dealer or bank	Feb 15, 2024 over 8 d
3	Morgan Stanley wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Sandy, Ut	Wirehouse to affiliated broker-dealer or bank	Jan 19, 2024 over 10 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Oak Brook, Il +1	Wirehouse to affiliated broker-dealer or bank	Jan 17, 2024 over 5 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Naples, Fl +1	Affiliated broker-dealer or bank to another	Jan 10, 2024
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Bellaire, Tx +1	Wirehouse to affiliated broker-dealer or bank	Jan 10, 2024 over 12 d
2	Pruco Securities, LLC BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Roseville, Ca +1	Affiliated broker-dealer or bank to another	Jan 7, 2024 over 4 d
2	J.P. Morgan Securities LLC wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Clarkston, Mi +1	Wirehouse to affiliated broker-dealer or bank	Jan 3, 2024 over 1 d
3	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Carmel, Ca +2	Affiliated broker-dealer or bank to another	Dec 26, 2023 over 16 d
2	Edward Jones national BD	Fidelity Personal And Workplace Advisors BD affiliated	St Louis, Mo	Affiliated broker-dealer or bank to another	Dec 18, 2023 over 13 d
2	Ameriprise Financial Services, LLC national BD	Fidelity Personal And Workplace Advisors BD affiliated	Minneapolis, Mn	Affiliated broker-dealer or bank to another	Nov 3, 2023 over 12 d
3	Morgan Stanley wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	San Francisco, Ca +2	Wirehouse to affiliated broker-dealer or bank	Oct 13, 2023 over 7 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Hartford, Ct +1	Wirehouse to affiliated broker-dealer or bank	Oct 5, 2023
3	Wells Fargo Advisors wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	San Jose, Ca +2	Wirehouse to affiliated broker-dealer or bank	Sep 5, 2023 over 20 d
3	Morgan Stanley wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Claremont, Ca +2	Wirehouse to affiliated broker-dealer or bank	Sep 1, 2023 over 20 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Pennington, Nj +1	Wirehouse to affiliated broker-dealer or bank	Aug 25, 2023 over 11 d
3	Morgan Stanley wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Garden City, Ny +2	Wirehouse to affiliated broker-dealer or bank	Aug 15, 2023 over 9 d
5	E*Trade Capital Management, LLC independent RIA	Fidelity Personal And Workplace Advisors BD affiliated	Charlotte, Nc	RIA to affiliated broker-dealer or bank	Aug 14, 2023
2	E*Trade Capital Management, LLC independent RIA	Fidelity Personal And Workplace Advisors BD affiliated	Arlington, Va	RIA to affiliated broker-dealer or bank	Aug 14, 2023 over 7 d
3	Morgan Stanley wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Sandy, Ut	Wirehouse to affiliated broker-dealer or bank	Aug 11, 2023 over 4 d
2	Equitable Advisors, LLC national BD	Fidelity Personal And Workplace Advisors BD affiliated	San Francisco, Ca	Affiliated broker-dealer or bank to another	Aug 7, 2023 over 8 d
8	E*Trade Capital Management, LLC independent RIA	Fidelity Personal And Workplace Advisors BD affiliated	New York, Ny +2	RIA to affiliated broker-dealer or bank	Aug 3, 2023 over 18 d
2	Fisher Investments independent RIA	Fidelity Personal And Workplace Advisors BD affiliated	Plano, Tx	RIA to affiliated broker-dealer or bank	Aug 2, 2023 over 12 d
3	E*Trade Capital Management, LLC independent RIA	Fidelity Personal And Workplace Advisors BD affiliated	Birmingham, Mi	RIA to affiliated broker-dealer or bank	Aug 1, 2023 over 14 d
3	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Sherman Oaks, Ca +2	Wirehouse to affiliated broker-dealer or bank	Jul 31, 2023 over 14 d
2	Morgan Stanley wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	San Mateo, Ca +1	Wirehouse to affiliated broker-dealer or bank	Jul 31, 2023 over 10 d
4	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Chicago, Il +1	Wirehouse to affiliated broker-dealer or bank	Jun 26, 2023 over 24 d
2	E*Trade Capital Management, LLC independent RIA	Fidelity Personal And Workplace Advisors BD affiliated	San Francisco, Ca +1	RIA to affiliated broker-dealer or bank	Jun 15, 2023 over 8 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Glen Allen, Va	Affiliated broker-dealer or bank to another	Jun 12, 2023 over 8 d
2	Valic Financial Advisors, Inc. BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Houston, Tx	Affiliated broker-dealer or bank to another	May 30, 2023 over 1 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	New York, Ny	Wirehouse to affiliated broker-dealer or bank	May 17, 2023 over 7 d
2	Morgan Stanley wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Sacramento, Ca +1	Wirehouse to affiliated broker-dealer or bank	May 3, 2023 over 6 d
2	Citigroup Global Markets Inc. BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Irving, Tx	Affiliated broker-dealer or bank to another	May 1, 2023
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Houston, Tx +1	Affiliated broker-dealer or bank to another	Apr 26, 2023 over 5 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Denver, Co +1	Affiliated broker-dealer or bank to another	Apr 13, 2023 over 13 d
3	Wells Fargo Advisors wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	Del Rey Oaks, Ca +2	Wirehouse to affiliated broker-dealer or bank	Apr 12, 2023 over 7 d
3	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Fidelity Personal And Workplace Advisors BD affiliated	New York, Ny	Wirehouse to affiliated broker-dealer or bank	Apr 5, 2023 over 26 d

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438 teams match.derived from registration dates