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 LPL Enterprise, LLC
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 | Oppenheimer & Co. Inc. BD affiliated | LPL Enterprise, LLC BD affiliated | Port Orange, Fl +1 | Affiliated broker-dealer or bank to another | Aug 21, 2026 |
| 2 | Td Private Client Wealth LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Scotch Plains, Nj +1 | Affiliated broker-dealer or bank to another | Apr 16, 2026 over 1 d |
| 2 | Strategic Advisers LLC national BD | LPL Enterprise, LLC BD affiliated | Boston, Ma | Affiliated broker-dealer or bank to another | Apr 10, 2026 over 14 d |
| 2 | Edward Jones national BD | LPL Enterprise, LLC BD affiliated | Peoria, Az +1 | Affiliated broker-dealer or bank to another | Mar 31, 2026 over 7 d |
| 2 | Dempsey Lord Smith, LLC independent RIA | LPL Enterprise, LLC BD affiliated | Rome, Ga | RIA to affiliated broker-dealer or bank | Mar 3, 2026 |
| 2 | Esi Financial Advisors independent RIA | LPL Enterprise, LLC BD affiliated | Lynchburg, Va | RIA to affiliated broker-dealer or bank | Mar 3, 2026 |
| 2 | Smith Moore & Co. BD affiliated | LPL Enterprise, LLC BD affiliated | Topeka, Ks | Affiliated broker-dealer or bank to another | Dec 23, 2025 |
| 4 | Raymond James & Associates, Inc. national BD | LPL Enterprise, LLC BD affiliated | Mishawaka, In +1 | Affiliated broker-dealer or bank to another | Dec 2, 2025 over 2 d |
| 2 | MML Investors Services, LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Perkasie, Pa +1 | Affiliated broker-dealer or bank to another | Sep 24, 2025 over 12 d |
| 2 | Ameriprise Financial Services, LLC national BD | LPL Enterprise, LLC BD affiliated | Grottoes, Va +1 | Affiliated broker-dealer or bank to another | Sep 4, 2025 over 12 d |
| 3 | Strategic Advisers LLC national BD | LPL Enterprise, LLC BD affiliated | Boston, Ma | Affiliated broker-dealer or bank to another | Jun 6, 2025 |
| 4 | MML Investors Services, LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Dix Hills, Ny +3 | Affiliated broker-dealer or bank to another | Jun 2, 2025 over 3 d |
| 2 | Equitable Advisors, LLC national BD | LPL Enterprise, LLC BD affiliated | New York, Ny | Affiliated broker-dealer or bank to another | May 15, 2025 over 5 d |
| 2 | Cetera Investment Advisers LLC BD affiliated | LPL Enterprise, LLC no RAUM | Cape Girardeau, Mo +1 | Affiliated broker-dealer or bank to a newly registered adviser | Feb 27, 2025 over 1 d |
| 2 | MML Investors Services, LLC BD affiliated | LPL Enterprise, LLC no RAUM | Northvale, Nj +1 | Affiliated broker-dealer or bank to a newly registered adviser | Dec 23, 2024 over 11 d |
| 3 | Pruco Securities, LLC BD affiliated | LPL Enterprise, LLC no RAUM | Sunnyvale, Ca +2 | Affiliated broker-dealer or bank to a newly registered adviser | Dec 6, 2024 |
| 6 | Pruco Securities, LLC BD affiliated | LPL Enterprise, LLC no RAUM | Newark, Nj | Affiliated broker-dealer or bank to a newly registered adviser | Dec 5, 2024 over 1 d |
| 4 | LPL Financial LLC BD affiliated | LPL Enterprise, LLC no RAUM | San Diego, Ca +1 | Affiliated broker-dealer or bank to a newly registered adviser | Oct 11, 2024 over 18 d |
| 3 | LPL Financial LLC BD affiliated | LPL Enterprise, LLC no RAUM | Fort Mill, Sc | Affiliated broker-dealer or bank to a newly registered adviser | Oct 11, 2024 over 10 d |
| 2 | First Command Advisory Services BD affiliated | LPL Enterprise, LLC no RAUM | Flower Mound, Tx +1 | Affiliated broker-dealer or bank to a newly registered adviser | Oct 1, 2024 over 2 d |
| 3 | Pruco Securities, LLC BD affiliated | LPL Enterprise, LLC no RAUM | Somerset, Nj +2 | Affiliated broker-dealer or bank to a newly registered adviser | Sep 25, 2024 over 8 d |
| 2 | Equitable Advisors, LLC national BD | LPL Enterprise, LLC no RAUM | Rochester, Ny +1 | Affiliated broker-dealer or bank to a newly registered adviser | Sep 18, 2024 over 12 d |
| 3 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | LPL Enterprise, LLC no RAUM | New York, Ny +1 | Wirehouse to a newly registered adviser (no RAUM reported yet) | May 8, 2024 over 1 d |
| 2 | Charles Schwab & Co., Inc. national BD | LPL Enterprise, LLC no RAUM | Westlake, Tx | Affiliated broker-dealer or bank to a newly registered adviser | Jan 10, 2024 |