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 Fa, 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 |
|---|---|---|---|---|---|
| 4 | Valic Financial Advisors, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Nashua, Nh +1 | Affiliated broker-dealer or bank to another | Nov 15, 2023 over 6 d |
| 3 | Valic Financial Advisors, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Westwood, Ks +2 | Affiliated broker-dealer or bank to another | Dec 6, 2022 |
| 2 | LPL Financial LLC independent RIA | Osaic Fa, Inc. BD affiliated | Bronx, Ny | RIA to affiliated broker-dealer or bank | Sep 23, 2022 |
| 2 | Waddell & Reed BD affiliated | Osaic Fa, Inc. BD affiliated | Las Vegas, Nv | Affiliated broker-dealer or bank to another | Mar 28, 2019 |
| 2 | Capital One Advisors, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Mclean, Va | Affiliated broker-dealer or bank to another | Jul 31, 2018 over 2 d |
| 4 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | El Segundo, Ca +1 | Other | Dec 19, 2017 |
| 2 | Osaic Institutions, Inc. other | Osaic Fa, Inc. other | Weymouth, Ma | Other | Dec 19, 2017 |
| 2 | Sii Investments, Inc. other | Osaic Fa, Inc. other | Williamsville, Ny | Other | Dec 8, 2017 |
| 2 | MML Investors Services, LLC other | Osaic Fa, Inc. other | Medina, Oh | Other | Nov 13, 2017 over 1 d |
| 3 | Cuso Financial Services, L.P. other | Osaic Fa, Inc. other | West Chester, Pa +1 | Other | Nov 8, 2017 |
| 3 | MML Investors Services, LLC other | Osaic Fa, Inc. other | San Ramon, Ca | Other | Jun 9, 2017 over 4 d |
| 3 | Hornor, Townsend & Kent, LLC other | Osaic Fa, Inc. other | Towson, Md +1 | Other | Apr 6, 2017 over 7 d |
| 2 | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Foster City, Ca +1 | Other | Dec 2, 2016 over 10 d |
| 2 | Oppenheimer & Co. Inc. other | Osaic Fa, Inc. other | Sarasota, Fl +1 | Other | Dec 2, 2016 over 14 d |
| 3 | Voya Financial Advisors, Inc. other | Osaic Fa, Inc. other | Macon, Ga | Other | Dec 26, 2015 over 2 d |
| 2 | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Delmont, Pa | Other | Nov 25, 2015 |
| 2 | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Monaca, Pa | Other | Feb 5, 2015 over 4 d |