DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Richard Noel Trotta
Feed of 09/15/2026
At current firm
4 y
since Mar 27, 2022
In the industry
42 y
since Sep 18, 1984 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Thurston Springer Advisors BD affiliated currentsince Mar 27, 2022 · Indianapolis, In
- Ameriprise Financial Services, LLC national BDMay 1, 2012 to Mar 31, 2022 · Aventura, Fl
- Morgan Stanley wirehouseJun 1, 2009 to Apr 30, 2012 · West Palm Beach, Fl
- Citigroup Global Markets Inc. BD affiliatedJan 18, 2005 to Jun 1, 2009 · West Palm Beach, Fl
- Wells Fargo Advisors wirehouseOct 1, 1999 to Jan 10, 2005 · Palm Beach Gardens, Fl
Moves
a registration end followed by a registration begin elsewhere
- Ameriprise Financial Services, LLC to Thurston Springer Advisorsleft Mar 31, 2022, registered Mar 27, 2022 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- Morgan Stanley to Ameriprise Financial Services, LLCleft Apr 30, 2012, registered May 1, 2012 (1 days) · Wirehouse to affiliated broker-dealer or bank
- Citigroup Global Markets Inc. to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Wells Fargo Advisors to Citigroup Global Markets Inc.left Jan 10, 2005, registered Jan 18, 2005 (8 days) · Other
Signals
- Richard Noel Trotta left Ameriprise Financial Services, Llc for Thurston Springer Advisors (registered 2022-03-27)Mar 31, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address