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 Signator Investors, 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 |
|---|---|---|---|---|---|
| 3 | MML Investors Services, LLC other | Signator Investors, Inc. other | Allentown, Pa | Other | Nov 13, 2017 over 1 d |
| 3 | LPL Financial LLC other | Signator Investors, Inc. other | Kissimmee, Fl +2 | Other | May 1, 2017 |
| 2 | Sagepoint Financial, Inc. other | Signator Investors, Inc. other | Fresno, Ca | Other | Mar 9, 2017 |
| 10 | Ameritas Advisory Services other | Signator Investors, Inc. other | W Des Moines, Ia +3 | Other | Feb 24, 2017 over 28 d |
| 4 | Ameritas Advisory Services other | Signator Investors, Inc. other | Algona, Ia +3 | Other | Jan 27, 2017 over 5 d |
| 2 | MML Investors Services, LLC other | Signator Investors, Inc. other | Honolulu, Hi | Other | Oct 10, 2016 |
| 2 | Osaic Fs, Inc. other | Signator Investors, Inc. other | Concord, Nh | Other | Apr 8, 2016 over 11 d |
| 2 | Next Financial Group, Inc. other | Signator Investors, Inc. other | Oceanside, Ca | Other | Mar 11, 2016 |
| 7 | New York Life Investment Management LLC other | Signator Investors, Inc. other | New York, Ny | Other | Apr 15, 2015 |