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 E*Trade Capital Management, 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 | Vanguard Advisers, Inc. BD affiliated | E*Trade Capital Management, LLC independent RIA | Charlotte, Nc | Affiliated broker-dealer or bank to independent RIA | Jul 7, 2022 over 12 d |
| 2 | Fidelity Personal And Workplace Advisors BD affiliated | E*Trade Capital Management, LLC independent RIA | Boston, Ma | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2022 over 14 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC independent RIA | Alpharetta, Ga +1 | Wirehouse to independent RIA | Mar 16, 2022 over 5 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC independent RIA | San Jose, Ca +1 | Wirehouse to independent RIA | Jan 27, 2022 over 6 d |
| 2 | Wells Fargo Advisors wirehouse | E*Trade Capital Management, LLC independent RIA | Marietta, Ga +1 | Wirehouse to independent RIA | Jan 26, 2022 over 14 d |
| 2 | Equitable Advisors, LLC national BD | E*Trade Capital Management, LLC independent RIA | New York, Ny | Affiliated broker-dealer or bank to independent RIA | Oct 12, 2021 over 2 d |
| 3 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC independent RIA | Chicago, Il +2 | Wirehouse to independent RIA | Sep 28, 2021 over 21 d |
| 2 | Td Ameritrade Investment Management, LLC independent RIA | E*Trade Capital Management, LLC independent RIA | Mission Viejo, Ca +1 | RIA to RIA | Sep 15, 2021 over 9 d |
| 3 | Sbsb Financial Advisors independent RIA | E*Trade Capital Management, LLC independent RIA | Mclean, Va | RIA to RIA | Apr 13, 2021 |
| 2 | Fidelity Personal And Workplace Advisors BD affiliated | E*Trade Capital Management, LLC independent RIA | Boston, Ma | Affiliated broker-dealer or bank to independent RIA | Apr 5, 2021 |
| 3 | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC independent RIA | Carlsbad, Ca +2 | Other | Jan 11, 2021 |
| 2 | Equitable Advisors, LLC national BD | E*Trade Capital Management, LLC independent RIA | Boca Raton, Fl +1 | Affiliated broker-dealer or bank to independent RIA | Dec 22, 2020 over 13 d |
| 3 | Advice And Planning Services BD affiliated | E*Trade Capital Management, LLC independent RIA | Charlotte, Nc | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC independent RIA | Minneapolis, Mn +1 | Wirehouse to independent RIA | Feb 20, 2019 over 1 d |
| 2 | T. Rowe Price Advisory Services, Inc. independent RIA | E*Trade Capital Management, LLC independent RIA | Tampa, Fl | RIA to RIA | Jan 28, 2019 over 7 d |
| 2 | Morgan Stanley wirehouse | E*Trade Capital Management, LLC independent RIA | Oak Brook, Il +1 | Wirehouse to independent RIA | Sep 6, 2018 over 4 d |
| 2 | Td Ameritrade Investment Management, LLC independent RIA | E*Trade Capital Management, LLC independent RIA | Beverly Hills, Ca +1 | RIA to RIA | May 22, 2018 over 10 d |
| 9 | Scottrade Investment Management BD affiliated | E*Trade Capital Management, LLC independent RIA | Saint Louis, Mo | Affiliated broker-dealer or bank to independent RIA | Mar 7, 2018 over 2 d |
| 2 | Scottrade Investment Management BD affiliated | E*Trade Capital Management, LLC independent RIA | Westminster, Co | Affiliated broker-dealer or bank to independent RIA | Mar 7, 2018 |
| 3 | Scottrade Investment Management other | E*Trade Capital Management, LLC other | Saint Louis, Mo | Other | Nov 14, 2017 over 16 d |
| 2 | Wells Fargo Advisors wirehouse | E*Trade Capital Management, LLC other | St Louis, Mo | Other | Feb 2, 2017 over 7 d |
| 2 | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Salt Lake City, Ut | Other | Nov 4, 2016 over 3 d |
| 2 | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Salt Lake City, Ut +1 | Other | Jul 11, 2016 over 8 d |
| 2 | Wells Fargo Advisors wirehouse | E*Trade Capital Management, LLC other | Salt Lake City, Ut | Other | Mar 16, 2015 over 2 d |