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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

Vincent Michael Tassone

Advisor at REALTA INVESTMENT ADVISORS, INC

PHILADELPHIA, PA | WILMINGTON, DE

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Search this name across graphsid dfx:ria:b86c5d1c-d604-5fc6-613c-ac658a1433cd

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Jul 14, 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: REALTA INVESTMENT 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: Jul 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 14, 2015
First registration: Jul 14, 2015
Dual registered: yes, broker-dealer
Other names: VINCENT MICHAEL TASSONE|VINCENT M TASSONE
IAPD individual key: 6380567

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
REALTA INVESTMENT ADVISORS, INC	Bd affiliated wealth	Mar 24, 2026	n/a	yes	WILMINGTON, DE\|PHILADELPHIA, PA	Current employment
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Oct 16, 2024	Dec 20, 2024	no	Mount Laurel, NJ	Previous registration
REGIONAL INVESTMENT ADVISORS, LLC	n/a	May 4, 2023	Nov 27, 2023	no	PHILADELPHIA, PA	Previous registration
FIRST TRUST ADVISORS LP	Asset manager	Jul 14, 2015	Mar 10, 2023	no	AUSTIN, TX\|WHEATON, IL\|WHEATON, IL\|PHILADELPHIA, PA\|PHILADELPHIA, PA	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
RAYMOND JAMES & ASSOCIATES, INC.	REALTA INVESTMENT ADVISORS, INC	Dec 20, 2024	Mar 24, 2026	459	Firm change after gap	Ibd to ibd
REGIONAL INVESTMENT ADVISORS, LLC	RAYMOND JAMES & ASSOCIATES, INC.	Nov 27, 2023	Oct 16, 2024	324	Firm change	Other
FIRST TRUST ADVISORS LP	REGIONAL INVESTMENT ADVISORS, LLC	Mar 10, 2023	May 4, 2023	55	Firm change	Other

Relationships

Registered with (4)

→ REALTA INVESTMENT ADVISORS, INCRegistered adviserregistration: current employment
Mar 24, 2026 to presentfactForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Oct 16, 2024 to Dec 20, 2024factForm ADV
→ REGIONAL INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
May 4, 2023 to Nov 27, 2023factForm ADV
→ FIRST TRUST ADVISORS LPRegistered adviserregistration: previous registration
Jul 14, 2015 to Mar 10, 2023factForm ADV

Dated events

Occurred
Dec 20, 2024
Advisor changed firm
Vincent Michael Tassone left Raymond James & Associates, Inc. for Realta Investment Advisors, Inc (registered 2026-03-24)
Form ADVobserved 3 days ago
Occurred
Nov 27, 2023
Advisor changed firm
Vincent Michael Tassone left Regional Investment Advisors, Llc for Raymond James & Associates, Inc. (registered 2024-10-16)
Form ADVobserved 3 days ago
Occurred
Mar 10, 2023
Advisor changed firm
Vincent Michael Tassone left First Trust Advisors Lp for Regional Investment Advisors, Llc (registered 2023-05-04)
Form ADVobserved 3 days ago