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RIA / WealthAdvisor15 years in industry

Thomas Ray Hamilton

Advisor at HOBART WEALTH

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:72cd5c54-1a43-d8fc-d192-70699e7f477b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Apr 5, 2011 to Sep 14, 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: HOBART WEALTH
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 31, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Mar 31, 2011
First registration: Apr 5, 2011
Dual registered: no
IAPD individual key: 5869225

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
HOBART WEALTH	Independent wealth	Feb 5, 2019	n/a	yes	CHARLOTTE, NC	Current employment
PNC WEALTH MANAGEMENT	Bd affiliated wealth	May 23, 2017	Aug 17, 2018	no	CHARLOTTE, NC	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	Sep 15, 2016	May 8, 2017	no	SAINT LOUIS, MO	Previous registration
ALLSTATE FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Jan 30, 2013	Oct 6, 2014	no	SILER CITY, NC	Previous registration
EDWARD JONES	National bd RIA	Jul 23, 2012	Aug 1, 2012	no	ST LOUIS, MO	Previous registration
EDWARD JONES	National bd RIA	Jul 9, 2012	Jul 10, 2012	no	ST LOUIS, MO	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 5, 2011	May 17, 2012	no	CHAPEL HILL, NC	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
PNC WEALTH MANAGEMENT	HOBART WEALTH	Aug 17, 2018	Feb 5, 2019	172	Firm change	Ibd to RIA
SCOTTRADE INVESTMENT MANAGEMENT	PNC WEALTH MANAGEMENT	May 8, 2017	May 23, 2017	15	Firm change	Other
ALLSTATE FINANCIAL ADVISORS, LLC	SCOTTRADE INVESTMENT MANAGEMENT	Oct 6, 2014	Sep 15, 2016	710	Firm change after gap	Other
EDWARD JONES	ALLSTATE FINANCIAL ADVISORS, LLC	Aug 1, 2012	Jan 30, 2013	182	Firm change	Ibd to new firm
AMERIPRISE FINANCIAL SERVICES, LLC	EDWARD JONES	May 17, 2012	Jul 9, 2012	53	Firm change	Ibd to ibd

Relationships

Registered with (6)

→ HOBART WEALTHRegistered adviserregistration: current employment
Feb 5, 2019 to presentfactForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
May 23, 2017 to Aug 17, 2018factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Sep 15, 2016 to May 8, 2017factForm ADV
→ ALLSTATE FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 30, 2013 to Oct 6, 2014factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Jul 23, 2012 to Aug 1, 2012factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 5, 2011 to May 17, 2012factForm ADV

Dated events

No dated event names this entity yet.