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 Trivium Point Advisory, 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.

AdvisorsFromToBranchTypeLeft
4MML Investors Services, LLC BD affiliatedTrivium Point Advisory, LLC independent RIAElmsford, NyAffiliated broker-dealer or bank to independent RIAOct 1, 2020
2MML Investors Services, LLC BD affiliatedTrivium Point Advisory, LLC independent RIAShelton, CtAffiliated broker-dealer or bank to independent RIAMar 4, 2020
3Kestra Advisory Services, LLC BD affiliatedTrivium Point Advisory, LLC no RAUMWestport, CtAffiliated broker-dealer or bank to a newly registered adviserMay 23, 2018
over 7 d
2Kestra Advisory Services, LLC BD affiliatedTrivium Point Advisory, LLC no RAUMAustin, TxAffiliated broker-dealer or bank to a newly registered adviserMay 17, 2018
over 13 d
Page 1 of 1
4 teams match.derived from registration dates