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 Td Ameritrade, 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 |
|---|---|---|---|---|---|
| 2 | Equitable Advisors, LLC national BD | Td Ameritrade, Inc. no RAUM | New York, Ny +1 | Other | Oct 7, 2021 over 6 d |
| 2 | E*Trade Capital Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Arlington, Va | Other | Jan 8, 2019 over 9 d |
| 2 | Fidelity Personal And Workplace Advisors BD affiliated | Td Ameritrade, Inc. no RAUM | Boston, Ma | Other | Nov 28, 2018 over 1 d |
| 2 | Strategic Advisers LLC national BD | Td Ameritrade, Inc. no RAUM | Westlake, Tx | Other | Oct 4, 2017 over 2 d |
| 3 | Strategic Advisers LLC national BD | Td Ameritrade, Inc. no RAUM | Westlake, Tx | Other | Aug 14, 2017 over 24 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Td Ameritrade, Inc. no RAUM | Delray Beach, Fl +1 | Other | Jul 20, 2017 over 8 d |
| 2 | Strategic Advisers LLC national BD | Td Ameritrade, Inc. no RAUM | Westlake, Tx | Other | Jan 13, 2017 over 12 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Td Ameritrade, Inc. no RAUM | Irvine, Ca +1 | Other | Nov 21, 2016 over 9 d |
| 2 | Waddell & Reed other | Td Ameritrade, Inc. no RAUM | Riverside, Ca +1 | Other | Nov 3, 2016 over 12 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Td Ameritrade, Inc. no RAUM | Pennington, Nj | Other | Sep 30, 2016 over 11 d |
| 2 | Wells Fargo Advisors wirehouse | Td Ameritrade, Inc. no RAUM | St Louis, Mo | Other | Aug 9, 2016 |
| 3 | Ameriprise Financial Services, LLC national BD | Td Ameritrade, Inc. no RAUM | Las Vegas, Nv | Other | Nov 3, 2015 over 9 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Td Ameritrade, Inc. no RAUM | San Mateo, Ca +1 | Other | Oct 12, 2015 over 14 d |
| 2 | Morgan Stanley wirehouse | Td Ameritrade, Inc. no RAUM | Clearwater, Fl | Other | Apr 22, 2015 over 1 d |