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 Oneamerica Securities, 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 | MML Investors Services, LLC BD affiliated | Oneamerica Securities, Inc. BD affiliated | Hoover, Al | Affiliated broker-dealer or bank to another | Dec 12, 2023 over 8 d |
| 6 | On Investment Management Co BD affiliated | Oneamerica Securities, Inc. BD affiliated | Wichita, Ks | Affiliated broker-dealer or bank to another | Mar 1, 2023 |
| 2 | On Investment Management Co BD affiliated | Oneamerica Securities, Inc. BD affiliated | Cincinnati, Oh | Affiliated broker-dealer or bank to another | Mar 1, 2023 over 1 d |
| 2 | On Investment Management Co BD affiliated | Oneamerica Securities, Inc. BD affiliated | Baton Rouge, La | Affiliated broker-dealer or bank to another | Dec 31, 2022 |
| 2 | On Investment Management Co BD affiliated | Oneamerica Securities, Inc. BD affiliated | Dayton, Oh | Affiliated broker-dealer or bank to another | Jul 29, 2021 |
| 3 | MML Investors Services, LLC other | Oneamerica Securities, Inc. other | Gilbert, Az +1 | Other | Feb 21, 2018 |
| 2 | Hornor, Townsend & Kent, LLC other | Oneamerica Securities, Inc. other | Chicago, Il +1 | Other | Aug 7, 2017 over 4 d |
| 2 | Hornor, Townsend & Kent, LLC other | Oneamerica Securities, Inc. other | Chicago, Il | Other | Jun 1, 2017 |
| 2 | Equitable Advisors, LLC national BD | Oneamerica Securities, Inc. other | Richmond, Va | Other | Oct 4, 2016 over 3 d |
| 2 | Securian Financial Services, Inc. other | Oneamerica Securities, Inc. other | Charlotte, Nc | Other | Nov 4, 2015 over 2 d |