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 Octavia 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 |
|---|---|---|---|---|---|
| 2 | Equitable Advisors, LLC national BD | Octavia Wealth Advisors LLC independent RIA | San Diego, Ca | Affiliated broker-dealer or bank to independent RIA | Dec 9, 2020 over 7 d |
| 10 | Equitable Advisors, LLC national BD | Octavia Wealth Advisors LLC mixed wealth | Blue Ash, Oh | Affiliated broker-dealer or bank to independent RIA | Jul 10, 2020 |
| 8 | Equitable Advisors, LLC national BD | Octavia Wealth Advisors LLC mixed wealth | San Diego, Ca +2 | Affiliated broker-dealer or bank to independent RIA | Jul 7, 2020 over 3 d |