DFX Intelligence

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.

Advisor teams

Teams that joined Nations Financial Group, 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.

AdvisorsFromToBranchTypeLeft
2Wells Fargo Advisors wirehouseNations Financial Group, Inc. independent RIABerwyn, PaWirehouse to independent RIAOct 10, 2025
over 5 d
2Realta Investment Advisors, Inc BD affiliatedNations Financial Group, Inc. independent RIAWilmington, DeAffiliated broker-dealer or bank to independent RIASep 4, 2024
over 1 d
2Wells Fargo Advisors wirehouseNations Financial Group, Inc. independent RIABerwyn, PaWirehouse to independent RIAJul 25, 2023
3Wells Fargo Advisors wirehouseNations Financial Group, Inc. independent RIAKnoxville, TnWirehouse to independent RIADec 20, 2022
3Wells Fargo Advisors wirehouseNations Financial Group, Inc. independent RIAMemphis, TnWirehouse to independent RIAFeb 14, 2022
2Wells Fargo Advisors wirehouseNations Financial Group, Inc. independent RIAIdaho Falls, IdWirehouse to independent RIAAug 23, 2021
2Summit Financial Group Inc BD affiliatedNations Financial Group, Inc. independent RIASilverdale, WaAffiliated broker-dealer or bank to independent RIAFeb 5, 2021
over 5 d
3Wells Fargo Advisors wirehouseNations Financial Group, Inc. independent RIAScottsdale, Az +1Wirehouse to independent RIASep 17, 2020
over 4 d
3Wells Fargo Advisors wirehouseNations Financial Group, Inc. independent RIALittleton, Co +1Wirehouse to independent RIAJul 17, 2020
over 3 d
5Wells Fargo Advisors wirehouseNations Financial Group, Inc. independent RIAWayne, PaWirehouse to independent RIASep 6, 2019
over 5 d
2B Riley Wealth Management BD affiliatedNations Financial Group, Inc. independent RIAChicago, Il +1Affiliated broker-dealer or bank to independent RIAJul 2, 2019
over 6 d
2Wintrust Investments otherNations Financial Group, Inc. otherIndependence, Ia +1OtherOct 11, 2016
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12 teams match.derived from registration dates