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 Santander Securities
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 | Citizens Securities, Inc. BD affiliated | Santander Securities BD affiliated | Woburn, Ma | Affiliated broker-dealer or bank to another | Dec 31, 2020 |
| 3 | Voya Financial Advisors, Inc. BD affiliated | Santander Securities BD affiliated | Braintree, Ma | Affiliated broker-dealer or bank to another | Apr 3, 2019 |
| 2 | Citizens Securities, Inc. BD affiliated | Santander Securities BD affiliated | Glenside, Pa +1 | Affiliated broker-dealer or bank to another | Dec 7, 2018 over 10 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Santander Securities BD affiliated | Brooklyn, Ny +1 | Wirehouse to affiliated broker-dealer or bank | May 22, 2018 |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Santander Securities BD affiliated | Burlington, Ma +1 | Wirehouse to affiliated broker-dealer or bank | May 18, 2018 over 3 d |
| 3 | Pnc Wealth Management other | Santander Securities other | Willow Street, Pa +2 | Other | Feb 23, 2017 over 6 d |
| 2 | Invest Financial Corporation other | Santander Securities other | Fort Lee, Nj +1 | Other | Dec 28, 2015 over 9 d |
| 2 | Citizens Securities, Inc. other | Santander Securities other | N Providence, Ri +1 | Other | Sep 10, 2015 over 13 d |
| 3 | Hsbc Securities (USA) Inc. other | Santander Securities other | Brooklyn, Ny +1 | Other | Aug 31, 2015 over 17 d |