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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

Thomas John Adolph

Advisor at IP FINANCIAL ADVISORY SERVICES LLC

CHARLOTTE, NC | Kalispell, MT

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Search this name across graphsid dfx:ria:72d2ba41-a43c-61e5-cb48-71a09090d5f6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 6, 2000 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: IP FINANCIAL ADVISORY SERVICES LLC
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: Oct 15, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 15, 1999
First registration: Apr 6, 2000
Dual registered: yes, broker-dealer
IAPD individual key: 4005957

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
IP FINANCIAL ADVISORY SERVICES LLC	Independent wealth	Feb 6, 2020	n/a	yes	Kalispell, MT\|CHARLOTTE, NC	Current employment
KMS FINANCIAL SERVICES, INC	Former SEC adviser	Dec 15, 2009	Oct 10, 2017	no	KALISPELL, MT\|SEATTLE, WA\|BIGFORK, MT	Previous registration
S.G. LONG & COMPANY	State registered	Aug 29, 2005	Dec 10, 2009	no	KALISPELL, MT\|MISSOULA, MT\|MISSOULA, MT\|MISSOULA, MT	Previous registration
WADDELL & REED	Former SEC adviser	Apr 6, 2000	Aug 30, 2005	no	KALISPELL, MT	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
KMS FINANCIAL SERVICES, INC	IP FINANCIAL ADVISORY SERVICES LLC	Oct 10, 2017	Feb 6, 2020	849	Firm change after gap	Other
S.G. LONG & COMPANY	KMS FINANCIAL SERVICES, INC	Dec 10, 2009	Dec 15, 2009	5	Firm change	Other
WADDELL & REED	S.G. LONG & COMPANY	Aug 30, 2005	Aug 29, 2005	-1	Firm change	Other

Relationships

Registered with (4)

→ IP FINANCIAL ADVISORY SERVICES LLCRegistered adviserregistration: current employment
Feb 6, 2020 to presentfactForm ADV
→ KMS FINANCIAL SERVICES, INCRegistered adviserregistration: previous registration
Dec 15, 2009 to Oct 10, 2017factForm ADV
→ S.G. LONG & COMPANYRegistered adviserregistration: previous registration
Aug 29, 2005 to Dec 10, 2009factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Apr 6, 2000 to Aug 30, 2005factForm ADV

Dated events

No dated event names this entity yet.