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 Summit Financial, 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 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Summit Financial, LLC BD affiliated | Ann Arbor, Mi | Wirehouse to affiliated broker-dealer or bank | Mar 31, 2026 |
| 6 | Wells Fargo Advisors wirehouse | Summit Financial, LLC BD affiliated | Cincinnati, Oh +1 | Wirehouse to affiliated broker-dealer or bank | Mar 10, 2026 |
| 2 | Heritage Wealth Partners, LLC independent RIA | Summit Financial, LLC BD affiliated | Dublin, Oh | RIA to affiliated broker-dealer or bank | Jul 10, 2025 |
| 7 | The Patriot Financial Group, LLC independent RIA | Summit Financial, LLC BD affiliated | West Warwick, Ri +2 | RIA to affiliated broker-dealer or bank | Jul 3, 2025 over 5 d |
| 3 | The Patriot Financial Group, LLC independent RIA | Summit Financial, LLC BD affiliated | Walpole, Ma | RIA to affiliated broker-dealer or bank | Jul 3, 2025 over 5 d |
| 2 | Cambridge Investment Research Advisors, Inc. BD affiliated | Summit Financial, LLC BD affiliated | Lansdowne, Va | Affiliated broker-dealer or bank to another | Jun 24, 2025 over 1 d |
| 2 | Crow Financial Advisors independent RIA | Summit Financial, LLC BD affiliated | Albuquerque, Nm | RIA to affiliated broker-dealer or bank | May 9, 2025 |
| 2 | Raymond James Financial Services Advisors, Inc BD affiliated | Summit Financial, LLC BD affiliated | Montgomery, Al | Affiliated broker-dealer or bank to another | Jan 14, 2025 over 1 d |
| 2 | Brookstone Capital Management LLC independent RIA | Summit Financial, LLC BD affiliated | Stevens Point, Wi | RIA to affiliated broker-dealer or bank | Nov 8, 2024 |
| 2 | Gordon Asset Management, LLC independent RIA | Summit Financial, LLC BD affiliated | Durham, Nc | RIA to affiliated broker-dealer or bank | Nov 8, 2024 over 14 d |
| 4 | UBS Financial Services Inc. wirehouse | Summit Financial, LLC BD affiliated | Bonita Springs, Fl | Wirehouse to affiliated broker-dealer or bank | May 7, 2024 |
| 8 | Ameriprise Financial Services, LLC national BD | Summit Financial, LLC BD affiliated | Birmingham, Al +1 | Affiliated broker-dealer or bank to another | Jan 12, 2024 over 5 d |
| 2 | Symphonic Financial Advisors LLC bank affiliated | Summit Financial, LLC BD affiliated | Lutherville, Md | Other | Dec 20, 2023 |
| 4 | Wells Fargo Advisors wirehouse | Summit Financial, LLC BD affiliated | Farmington Hills, Mi | Wirehouse to affiliated broker-dealer or bank | May 5, 2023 over 10 d |
| 3 | Aurora Private Wealth, Inc. independent RIA | Summit Financial, LLC BD affiliated | Morristown, Nj +1 | RIA to affiliated broker-dealer or bank | Aug 3, 2021 |
| 3 | UBS Financial Services Inc. wirehouse | Summit Financial, LLC BD affiliated | Farmington Hills, Mi | Wirehouse to affiliated broker-dealer or bank | May 18, 2021 |
| 2 | Asset Planning Services Ltd. independent RIA | Summit Financial, LLC BD affiliated | Harleysville, Pa | RIA to affiliated broker-dealer or bank | Oct 20, 2020 |
| 17 | Summit Equities Inc independent RIA | Summit Financial, LLC BD affiliated | Parsippany, Nj +1 | RIA to affiliated broker-dealer or bank | Dec 21, 2018 over 6 d |
| 3 | Bcg Securities, Inc. other | Summit Financial, LLC BD affiliated | Westfield, Nj +1 | Other | Mar 2, 2015 |