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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

TRACY ALLAN SCHAFF

Advisor at STIRLINGSHIRE INVESTMENTS

Tacoma, WA | NEW YORK, NY

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Search this name across graphsid dfx:ria:daa557fe-42c0-1fd8-db19-ff52d15b89c2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 29, 2009 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: STIRLINGSHIRE INVESTMENTS
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: Nov 22, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Nov 22, 2006
First registration: May 29, 2009
Dual registered: yes, broker-dealer
IAPD individual key: 5179646

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
STIRLINGSHIRE INVESTMENTS	Independent wealth	Oct 17, 2024	n/a	yes	Tacoma, WA\|NEW YORK, NY	Current employment
ALLSTATE FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Jun 1, 2016	Oct 18, 2024	no	Puyallup, WA\|Tacoma, WA\|Des Moines, WA	Previous registration
M HOLDINGS SECURITIES, INC.	Bd affiliated wealth	Aug 29, 2013	Jun 2, 2016	no	SEATTLE, WA	Previous registration
KOSMOS MANAGEMENT LLC	Asset manager	Dec 3, 2012	May 9, 2014	no	SEATTLE, WA	Previous registration
SIGNATOR FINANCIAL SERVICES, INC.	Former SEC adviser	Apr 18, 2011	Sep 30, 2011	no	SEATTLE, WA	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	May 29, 2009	Mar 28, 2011	no	TACOMA, WA\|TACOMA, WA	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
ALLSTATE FINANCIAL ADVISORS, LLC	STIRLINGSHIRE INVESTMENTS	Oct 18, 2024	Oct 17, 2024	-1	Firm change	Ibd to RIA
M HOLDINGS SECURITIES, INC.	ALLSTATE FINANCIAL ADVISORS, LLC	Jun 2, 2016	Jun 1, 2016	-1	Firm change	Other
KOSMOS MANAGEMENT LLC	M HOLDINGS SECURITIES, INC.	May 9, 2014	Aug 29, 2013	-253	Firm change after gap	Other
SIGNATOR FINANCIAL SERVICES, INC.	KOSMOS MANAGEMENT LLC	Sep 30, 2011	Dec 3, 2012	430	Firm change after gap	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	SIGNATOR FINANCIAL SERVICES, INC.	Mar 28, 2011	Apr 18, 2011	21	Firm change	Other

Relationships

Registered with (6)

→ STIRLINGSHIRE INVESTMENTSRegistered adviserregistration: current employment
Oct 17, 2024 to presentfactForm ADV
→ ALLSTATE FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Jun 1, 2016 to Oct 18, 2024factForm ADV
→ M HOLDINGS SECURITIES, INC.Registered adviserregistration: previous registration
Aug 29, 2013 to Jun 2, 2016factForm ADV
→ KOSMOS MANAGEMENT LLCRegistered adviserregistration: previous registration
Dec 3, 2012 to May 9, 2014factForm ADV
→ SIGNATOR FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Apr 18, 2011 to Sep 30, 2011factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
May 29, 2009 to Mar 28, 2011factForm ADV

Dated events

Occurred
Oct 18, 2024
Advisor changed firm
Tracy Allan Schaff left Allstate Financial Advisors, Llc for Stirlingshire Investments (registered 2024-10-17)
Form ADVobserved 4 days ago