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
Howard Louis Margolis
Feed of 09/14/2026
At current firm
0 y
since Aug 13, 2026
In the industry
39 y
since Jan 27, 1987 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
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
- Raymond James & Associates, Inc. national BD currentsince Aug 13, 2026 · Birmingham, Mi
- Stifel, Nicolaus & Company, Incorporated national BDDec 3, 2021 to Aug 19, 2026 · Southfield, Mi
- RBC Capital Markets, LLC national BDAug 20, 2020 to Sep 23, 2021 · Bloomfield Hills, Mi
- Citizens Private Wealth BD affiliatedAug 15, 2019 to Jul 15, 2020 · Tarrytown, Ny
- Citizens Securities, Inc. BD affiliatedJun 9, 2015 to Jul 15, 2020 · Southfield, Mi
- Cig Asset Management, Inc. independent RIAMay 22, 2013 to Jan 21, 2015 · Southfield, Mi
- LPL Financial LLC BD affiliatedJan 5, 2011 to Jan 30, 2013 · Southfield, Mi
Moves
a registration end followed by a registration begin elsewhere
- Stifel, Nicolaus & Company, Incorporated to Raymond James & Associates, Inc.left Aug 19, 2026, registered Aug 13, 2026 (-6 days) · Affiliated broker-dealer or bank to another
- RBC Capital Markets, LLC to Stifel, Nicolaus & Company, Incorporatedleft Sep 23, 2021, registered Dec 3, 2021 (71 days) · Affiliated broker-dealer or bank to another
- Citizens Private Wealth to RBC Capital Markets, LLCleft Jul 15, 2020, registered Aug 20, 2020 (36 days) · RIA to affiliated broker-dealer or bank
- Citizens Securities, Inc. to Citizens Private Wealthleft Jul 15, 2020, registered Aug 15, 2019 (-335 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Cig Asset Management, Inc. to Citizens Securities, Inc.left Jan 21, 2015, registered Jun 9, 2015 (139 days) · Other
- LPL Financial LLC to Cig Asset Management, Inc.left Jan 30, 2013, registered May 22, 2013 (112 days) · Other
Signals
- Howard Louis Margolis left Stifel, Nicolaus & Company, Incorporated for Raymond James & Associates, Inc. (registered 2026-08-13)Aug 19, 2026 · 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
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address