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 Fsc Securities Corporation
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 | Butler Associates Financial Planners, Inc. unclassified | Fsc Securities Corporation BD affiliated | St Louis, Mo | Other | Dec 14, 2023 |
| 2 | Diversified Financial Advisory Group, Inc. unclassified | Fsc Securities Corporation BD affiliated | West Des Moines, Ia | Other | Nov 21, 2023 |
| 2 | The Advisory Group independent RIA | Fsc Securities Corporation BD affiliated | Torrance, Ca +1 | RIA to affiliated broker-dealer or bank | Dec 31, 2022 |
| 2 | Capital Financial Services, Inc. independent RIA | Fsc Securities Corporation BD affiliated | Moore, Ok | RIA to affiliated broker-dealer or bank | Apr 18, 2019 |
| 2 | The Wharton Advisory Group, LLC independent RIA | Fsc Securities Corporation BD affiliated | Blue Bell, Pa +1 | RIA to affiliated broker-dealer or bank | Jul 5, 2018 over 14 d |
| 2 | LPL Financial LLC independent RIA | Fsc Securities Corporation BD affiliated | Portland, Or | RIA to affiliated broker-dealer or bank | Jun 1, 2018 over 7 d |
| 2 | H. Beck, Inc. other | Fsc Securities Corporation BD affiliated | Grove City, Oh | Other | Jan 31, 2018 |
| 2 | The Retirement Group, LLC other | Fsc Securities Corporation BD affiliated | San Ramon, Ca +1 | Other | Dec 31, 2017 |
| 3 | Sii Investments, Inc. other | Fsc Securities Corporation BD affiliated | Washingtonville, Ny | Other | Nov 10, 2017 |
| 2 | Next Financial Group, Inc. other | Fsc Securities Corporation other | Franklin, Tn +1 | Other | Jul 31, 2017 |
| 3 | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Fsc Securities Corporation other | Detroit, Mi +1 | Other | Mar 2, 2017 |
| 3 | Stratos Wealth Partners, Ltd other | Fsc Securities Corporation other | Marietta, Ga | Other | Sep 12, 2016 over 4 d |
| 2 | Morgan Stanley wirehouse | Fsc Securities Corporation other | Bend, Or | Other | Aug 16, 2016 over 2 d |
| 2 | Cetera Advisors LLC other | Fsc Securities Corporation other | Burlingame, Ca | Other | Apr 18, 2016 |
| 2 | Msi Financial Services, Inc. other | Fsc Securities Corporation other | Downers Grove, Il | Other | Sep 9, 2015 over 2 d |
| 2 | Morgan Stanley wirehouse | Fsc Securities Corporation other | Charlotte, Nc | Other | Jan 23, 2015 over 3 d |