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 Waddell & Reed
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 | Key Investment Services LLC BD affiliated | Waddell & Reed BD affiliated | Columbus, Oh | Affiliated broker-dealer or bank to another | Jan 15, 2021 |
| 2 | Cuso Financial Services, L.P. BD affiliated | Waddell & Reed BD affiliated | Spokane Valley, Wa | Affiliated broker-dealer or bank to another | Nov 23, 2020 |
| 3 | Scottrade Investment Management BD affiliated | Waddell & Reed other | Saint Louis, Mo | Other | Mar 8, 2018 over 1 d |
| 2 | Foresters Advisory Services, LLC other | Waddell & Reed other | Monrovia, Ca | Other | Feb 27, 2018 |
| 2 | Ameriprise Financial Services, LLC national BD | Waddell & Reed other | Spokane, Wa +1 | Other | Jan 4, 2017 over 14 d |
| 2 | U.S. Bancorp Investments, Inc. other | Waddell & Reed other | Shelley, Id +1 | Other | Oct 24, 2016 |
| 2 | Edward Jones national BD | Waddell & Reed other | St Peters, Mo +1 | Other | Jul 14, 2016 over 4 d |
| 2 | Ameriprise Financial Services, LLC national BD | Waddell & Reed other | Woodland Hills, Ca | Other | Jul 12, 2016 over 1 d |
| 2 | B Riley Wealth Management other | Waddell & Reed other | Memphis, Tn | Other | May 17, 2016 |
| 2 | Wells Fargo Advisors wirehouse | Waddell & Reed other | Seal Beach, Ca +1 | Other | May 27, 2015 over 14 d |
| 5 | Msi Financial Services, Inc. other | Waddell & Reed other | Las Vegas, Nv | Other | May 6, 2015 over 2 d |
| 2 | U.S. Bancorp Investments, Inc. other | Waddell & Reed other | Centerville, Oh +1 | Other | Apr 2, 2015 |