DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)9 years in industry

Sheldon Frantz

Advisor at B. RILEY WEALTH ADVISORS, INC.

Tampa, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:952ebce9-c511-3f9e-ee77-6ed6c89e8b4b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Aug 1, 2018 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: B. RILEY WEALTH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 1, 2016earliest registration or exam on IAPD
Years in industry: 9derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 16, 2018
First registration: Aug 1, 2018
Dual registered: yes, broker-dealer
Other names: Sheldon Frantz|SHELDON THOMAS FRANTZ
IAPD individual key: 6704259

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
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Jul 9, 2025	n/a	yes	Tampa, FL	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	May 9, 2022	Jul 8, 2024	no	Bethesda, MD\|Riverview, FL	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	May 19, 2021	Mar 3, 2022	no	CHEVY CHASE, MD	Previous registration
STRATOS WEALTH PARTNERS, LTD	Bd affiliated wealth	Jan 8, 2019	Oct 24, 2019	no	Rockville, MD	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Aug 1, 2018	Sep 12, 2018	no	ROCKVILLE, MD	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
MML INVESTORS SERVICES, LLC	B. RILEY WEALTH ADVISORS, INC.	Jul 8, 2024	Jul 9, 2025	366	Firm change	Ibd to ibd
PARK AVENUE SECURITIES LLC	MML INVESTORS SERVICES, LLC	Mar 3, 2022	May 9, 2022	67	Firm change	Ibd to ibd
STRATOS WEALTH PARTNERS, LTD	PARK AVENUE SECURITIES LLC	Oct 24, 2019	May 19, 2021	573	Firm change after gap	RIA to ibd
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	STRATOS WEALTH PARTNERS, LTD	Sep 12, 2018	Jan 8, 2019	118	Firm change	Ibd to RIA

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
46173:10409:MD:2022-03-03	Mar 3, 2022	May 9, 2022	CHEVY CHASE, MD	Firm change

Relationships

Registered with (5)

→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: current employment
Jul 9, 2025 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
May 9, 2022 to Jul 8, 2024factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
May 19, 2021 to Mar 3, 2022factForm ADV
→ STRATOS WEALTH PARTNERS, LTDRegistered adviserregistration: previous registration
Jan 8, 2019 to Oct 24, 2019factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Aug 1, 2018 to Sep 12, 2018factForm ADV

Dated events

Occurred
Jul 8, 2024
Advisor changed firm
Sheldon Frantz left Mml Investors Services, Llc for B. Riley Wealth Advisors, Inc. (registered 2025-07-09)
Form ADVobserved 5 days ago
Occurred
Mar 3, 2022
Advisor changed firm
Sheldon Frantz left Park Avenue Securities Llc for Mml Investors Services, Llc (registered 2022-05-09)
Form ADVobserved 5 days ago