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 Fifth Third 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 |
|---|---|---|---|---|---|
| 6 | Frost Investment Services BD affiliated | Fifth Third Securities, Inc. BD affiliated | Kingwood, Tx +3 | Affiliated broker-dealer or bank to another | Aug 7, 2026 over 13 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. BD affiliated | Jacksonville, Fl +1 | Wirehouse to affiliated broker-dealer or bank | Jul 15, 2026 over 5 d |
| 2 | Huntington Financial Advisors BD affiliated | Fifth Third Securities, Inc. BD affiliated | Dublin, Oh +1 | Affiliated broker-dealer or bank to another | May 17, 2023 over 1 d |
| 2 | Bfc Planning, Inc. BD affiliated | Fifth Third Securities, Inc. BD affiliated | Cedar Rapids, Ia | Affiliated broker-dealer or bank to another | Mar 23, 2022 |
| 7 | Cetera Investment Advisers LLC BD affiliated | Fifth Third Securities, Inc. BD affiliated | Rosemont, Il +4 | Affiliated broker-dealer or bank to another | May 29, 2019 over 2 d |
| 2 | Key Investment Services LLC BD affiliated | Fifth Third Securities, Inc. BD affiliated | Lebanon, In +1 | Affiliated broker-dealer or bank to another | May 2, 2018 over 13 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. BD affiliated | Chicago, Il | Wirehouse to affiliated broker-dealer or bank | Apr 27, 2018 over 14 d |
| 2 | Scottrade Investment Management BD affiliated | Fifth Third Securities, Inc. BD affiliated | Saint Louis, Mo | Affiliated broker-dealer or bank to another | Mar 8, 2018 over 1 d |
| 2 | Strategic Advisers LLC national BD | Fifth Third Securities, Inc. other | Covington, Ky | Other | Aug 10, 2017 |
| 2 | U.S. Bancorp Investments, Inc. other | Fifth Third Securities, Inc. other | Warrensville Heights, Oh +1 | Other | Jul 31, 2017 |
| 2 | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Louisville, Ky +1 | Other | May 1, 2017 over 2 d |
| 2 | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Akron, Oh | Other | Apr 28, 2017 over 7 d |
| 2 | J.P. Morgan Securities LLC wirehouse | Fifth Third Securities, Inc. other | Louisville, Ky | Other | Aug 9, 2016 |
| 2 | J.P. Morgan Securities LLC wirehouse | Fifth Third Securities, Inc. other | Oak Brook, Il | Other | Jun 27, 2016 |
| 2 | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Indianapolis, In | Other | Jan 8, 2015 |