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 Osaic Fs, Inc.
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 | Summit Asset Management, LLC unclassified | Osaic Fs, Inc. BD affiliated | Branford, Ct | Other | Aug 24, 2024 |
| 2 | Valic Financial Advisors, Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Anchorage, Ak | Affiliated broker-dealer or bank to another | Oct 13, 2021 |
| 2 | Wells Fargo Advisors wirehouse | Osaic Fs, Inc. BD affiliated | Ironton, Oh | Wirehouse to affiliated broker-dealer or bank | Oct 5, 2020 |
| 2 | Osaic Wealth, Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Nashville, Tn +1 | Affiliated broker-dealer or bank to another | Dec 17, 2018 |
| 3 | MML Investors Services, LLC BD affiliated | Osaic Fs, Inc. BD affiliated | San Antonio, Tx | Affiliated broker-dealer or bank to another | May 30, 2018 |
| 3 | Invest Financial Corporation other | Osaic Fs, Inc. other | New Britain, Ct | Other | May 26, 2017 over 4 d |
| 2 | Capital Investment Advisory Services, LLC other | Osaic Fs, Inc. other | Winstonsalem, Nc | Other | May 16, 2017 |
| 2 | Truist Advisory Services, Inc. no RAUM | Osaic Fs, Inc. other | Chattanooga, Tn | Other | Oct 3, 2016 |
| 3 | Investors Capital Advisory other | Osaic Fs, Inc. other | Lynnfield, Ma | Other | Aug 15, 2016 |
| 3 | Msi Financial Services, Inc. other | Osaic Fs, Inc. other | Austin, Tx | Other | Feb 11, 2016 |