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.
Feed of 09/14/2026
Also filed as Sharron Lane Tate
At current firm
9 y
since Feb 27, 2017
In the industry
17 y
since Nov 7, 2008 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Morgan Stanley wirehouse currentsince Feb 27, 2017 · Oakland, Ca
- J.P. Morgan Securities LLC wirehouseDec 18, 2015 to Jan 3, 2017 · Walnut Creek, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMar 24, 2014 to Jan 22, 2015 · Oakland, Ca
- LPL Financial LLC BD affiliatedMay 1, 2013 to Mar 10, 2014 · Hercules, Ca
- Cetera Investment Services LLC formerNov 10, 2008 to Apr 30, 2013 · Richmond, Ca
Moves
a registration end followed by a registration begin elsewhere
- J.P. Morgan Securities LLC to Morgan Stanleyleft Jan 3, 2017, registered Feb 27, 2017 (55 days) · Wirehouse to wirehouse · moved with a team
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to J.P. Morgan Securities LLCleft Jan 22, 2015, registered Dec 18, 2015 (330 days) · Wirehouse to wirehouse · moved with a team
- LPL Financial LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Mar 10, 2014, registered Mar 24, 2014 (14 days) · Other
- Cetera Investment Services LLC to LPL Financial LLCleft Apr 30, 2013, registered May 1, 2013 (1 days) · Other
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address