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 Hilltop 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 |
|---|---|---|---|---|---|
| 3 | Truist Advisory Services, Inc. BD affiliated | Hilltop Securities Inc. BD affiliated | Dallas, Tx | Affiliated broker-dealer or bank to another | Aug 30, 2024 over 5 d |
| 2 | Edward Jones national BD | Hilltop Securities Inc. BD affiliated | San Antonio, Tx +1 | Affiliated broker-dealer or bank to another | Feb 22, 2024 over 4 d |
| 2 | Morgan Stanley wirehouse | Hilltop Securities Inc. BD affiliated | Memphis, Tn | Wirehouse to affiliated broker-dealer or bank | Aug 19, 2021 |
| 2 | Pnc Managed Account Solutions, Inc. BD affiliated | Hilltop Securities Inc. BD affiliated | Austin, Tx | Affiliated broker-dealer or bank to another | Jun 30, 2021 over 14 d |
| 2 | Wells Fargo Advisors wirehouse | Hilltop Securities Inc. BD affiliated | Southlake, Tx +1 | Wirehouse to affiliated broker-dealer or bank | Sep 8, 2020 over 7 d |
| 2 | Raymond James Financial Services Advisors, Inc BD affiliated | Hilltop Securities Inc. BD affiliated | Sherman, Tx | Affiliated broker-dealer or bank to another | Jun 25, 2020 |
| 2 | Wells Fargo Advisors wirehouse | Hilltop Securities Inc. BD affiliated | Dallas, Tx +1 | Wirehouse to affiliated broker-dealer or bank | Jun 18, 2019 |
| 2 | Bok Financial Advisors BD affiliated | Hilltop Securities Inc. BD affiliated | Dallas, Tx | Affiliated broker-dealer or bank to another | Apr 20, 2018 |
| 2 | Stifel, Nicolaus & Company, Incorporated national BD | Hilltop Securities Inc. other | Dallas, Tx | Other | Jul 28, 2016 |
| 2 | Beverly Hills Wealth Management, LLC other | Hilltop Securities Inc. other | Beverly Hills, Ca | Other | Jan 19, 2016 |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hilltop Securities Inc. other | Dallas, Tx | Other | Aug 25, 2015 |