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RIA / WealthAdvisor13 years in industry

THOMAS JON PIAZZI

Advisor at FINIAT, LLC

MOUNT DORA, FL | Chicago, IL

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Search this name across graphsid dfx:ria:14bd067f-6367-1d6b-04a1-afd23560d557

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Apr 9, 2015 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FINIAT, LLC
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 4, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Oct 4, 2012
First registration: Apr 9, 2015
Dual registered: no
Other names: TOM PIAZZI
IAPD individual key: 5938018

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FINIAT, LLC	Asset manager	Jul 23, 2026	n/a	yes	Chicago, IL\|MOUNT DORA, FL	Current employment
SEI INVESTMENTS MANAGEMENT CORP	Mixed wealth	Oct 24, 2024	Nov 20, 2025	no	Libertyville, IL\|Walnut Creek, CA\|Libertyville, IL\|OAKS, PA	Previous registration
ORION PORTFOLIO SOLUTIONS, LLC	Bd affiliated wealth	Jul 14, 2023	Feb 29, 2024	no	OMAHA, NE	Previous registration
ASSETMARK, INC.	Bd affiliated wealth	Feb 26, 2020	Jul 26, 2022	no	CONCORD, CA\|Chicago, IL	Previous registration
CAPITAL CLIENT GROUP, INC.	No RAUM reported	Apr 9, 2015	Jan 13, 2020	no	SAN ANTONIO, TX\|CARMEL, IN\|SAN ANTONIO, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SEI INVESTMENTS MANAGEMENT CORP	FINIAT, LLC	Nov 20, 2025	Jul 23, 2026	245	Firm change	Other
ORION PORTFOLIO SOLUTIONS, LLC	SEI INVESTMENTS MANAGEMENT CORP	Feb 29, 2024	Oct 24, 2024	238	Firm change	Other
ASSETMARK, INC.	ORION PORTFOLIO SOLUTIONS, LLC	Jul 26, 2022	Jul 14, 2023	353	Firm change	Ibd to ibd
CAPITAL CLIENT GROUP, INC.	ASSETMARK, INC.	Jan 13, 2020	Feb 26, 2020	44	Firm change	Other

Relationships

Registered with (5)

→ FINIAT, LLCRegistered adviserregistration: current employment
Jul 23, 2026 to presentfactForm ADV
→ SEI INVESTMENTS MANAGEMENT CORPRegistered adviserregistration: previous registration
Oct 24, 2024 to Nov 20, 2025factForm ADV
→ ORION PORTFOLIO SOLUTIONS, LLCRegistered adviserregistration: previous registration
Jul 14, 2023 to Feb 29, 2024factForm ADV
→ ASSETMARK, INC.Registered adviserregistration: previous registration
Feb 26, 2020 to Jul 26, 2022factForm ADV
→ CAPITAL CLIENT GROUP, INC.Registered adviserregistration: previous registration
Apr 9, 2015 to Jan 13, 2020factForm ADV

Dated events

Occurred
Nov 20, 2025
Advisor changed firm
Thomas Jon Piazzi left Sei Investments Management Corp for Finiat, Llc (registered 2026-07-23)
Form ADVobserved 6 days ago
Occurred
Feb 29, 2024
Advisor changed firm
Thomas Jon Piazzi left Orion Portfolio Solutions, Llc for Sei Investments Management Corp (registered 2024-10-24)
Form ADVobserved 6 days ago
Occurred
Jul 26, 2022
Advisor changed firm
Thomas Jon Piazzi left Assetmark, Inc. for Orion Portfolio Solutions, Llc (registered 2023-07-14)
Form ADVobserved 6 days ago