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

Thomas Anthony Ditta

Regal Investment Advisors LLCBD affiliatedMonroe, La dual registrantIAPD 1304018

Feed of 09/15/2026

Also filed as Tommy Ditta

At current firm

0 y

since Feb 9, 2026

In the industry

26 y

since Sep 13, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Regal Investment Advisors LLC BD affiliated current
since Feb 9, 2026 · Monroe, La
Valic Financial Advisors, Inc. BD affiliated
Dec 5, 2023 to Feb 11, 2026 · Baton Rouge, La
Pruco Securities, LLC no RAUM
May 10, 2022 to Sep 20, 2023 · Monroe, La
Cetera Investment Advisers LLC BD affiliated
Jan 21, 2014 to Apr 29, 2022 · Monroe, La
Cetera Investment Services LLC former
Apr 11, 2013 to Jan 21, 2014 · Monroe, La
Valic Financial Advisors, Inc. BD affiliated
Mar 30, 2011 to Jan 31, 2013 · Baton Rouge, La

Moves

a registration end followed by a registration begin elsewhere

Valic Financial Advisors, Inc. to Regal Investment Advisors LLC
left Feb 11, 2026, registered Feb 9, 2026 (-2 days) · Affiliated broker-dealer or bank to another
Pruco Securities, LLC to Valic Financial Advisors, Inc.
left Sep 20, 2023, registered Dec 5, 2023 (76 days) · Affiliated broker-dealer or bank to another
Cetera Investment Advisers LLC to Pruco Securities, LLC
left Apr 29, 2022, registered May 10, 2022 (11 days) · Affiliated broker-dealer or bank to another
Cetera Investment Services LLC to Cetera Investment Advisers LLC
left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
Valic Financial Advisors, Inc. to Cetera Investment Services LLC
left Jan 31, 2013, registered Apr 11, 2013 (70 days) · Other

Signals

Thomas Anthony Ditta left Valic Financial Advisors, Inc. for Regal Investment Advisors Llc (registered 2026-02-09)
Feb 11, 2026 · Advisor changed firm · fact
Thomas Anthony Ditta left Pruco Securities, Llc for Valic Financial Advisors, Inc. (registered 2023-12-05)
Sep 20, 2023 · Advisor changed firm · fact
Thomas Anthony Ditta left Cetera Investment Advisers Llc for Pruco Securities, Llc (registered 2022-05-10)
Apr 29, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address