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
John Anthony Franz
Feed of 09/15/2026
Also filed as John Franz
At current firm
9 y
since Jun 26, 2017
In the industry
38 y
since Jun 2, 1988 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- RBC Capital Markets, LLC national BD currentsince Jun 26, 2017 · Indianapolis, In
- Sanctuary Advisors, LLC BD affiliatedMar 9, 2017 to Jul 10, 2017 · Indianapolis, In
- Stifel, Nicolaus & Company, Incorporated national BDJan 3, 2017 to Feb 14, 2017 · Indianapolis, In
- J.J.B. Hilliard, W.L. Lyons, LLC formerApr 16, 2012 to Apr 16, 2012 · Indianapolis, In
- City Securities Corporation formerApr 19, 2006 to Dec 31, 2016 · Indianapolis, In
- Citigroup Global Markets Inc. BD affiliatedDec 15, 1998 to Mar 6, 2003 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- Sanctuary Advisors, LLC to RBC Capital Markets, LLCleft Jul 10, 2017, registered Jun 26, 2017 (-14 days) · Other
- Stifel, Nicolaus & Company, Incorporated to Sanctuary Advisors, LLCleft Feb 14, 2017, registered Mar 9, 2017 (23 days) · Other
- City Securities Corporation to J.J.B. Hilliard, W.L. Lyons, LLCleft Dec 31, 2016, registered Apr 16, 2012 (-1720 days) · Other
- J.J.B. Hilliard, W.L. Lyons, LLC to Stifel, Nicolaus & Company, Incorporatedleft Apr 16, 2012, registered Jan 3, 2017 (1723 days) · Other
- Citigroup Global Markets Inc. to City Securities Corporationleft Mar 6, 2003, registered Apr 19, 2006 (1140 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
- National broker-dealer RIAderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address