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

Pina Formicola

LPL Financial LLCBD affiliatedPittsford, Nydual registrantIAPD 1852847

Feed of 09/14/2026

Also filed as Pina Halvatzis

At current firm

0 y

since Jun 26, 2026

In the industry

37 y

since Nov 23, 1988 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Jun 26, 2026 · Pittsford, Ny
Independent Solutions Wealth Management, LLC independent RIA
Aug 14, 2024 to Jul 8, 2026 · Williamsville, Ny
Osaic Wealth, Inc. BD affiliated
Sep 1, 2023 to Aug 7, 2024 · Rochester, Ny
Sagepoint Financial, Inc. former
Apr 23, 2021 to Sep 1, 2023 · Rochester, Ny
Ensemble Financial Services, Inc. unclassified
Mar 7, 2011 to Aug 1, 2011 · Pittsford, Ny
LPL Financial LLC BD affiliated
Jan 4, 2002 to Apr 13, 2005 · Rochester, Ny

Moves

a registration end followed by a registration begin elsewhere

Independent Solutions Wealth Management, LLC to LPL Financial LLC
left Jul 8, 2026, registered Jun 26, 2026 (-12 days) · RIA to affiliated broker-dealer or bank
Osaic Wealth, Inc. to Independent Solutions Wealth Management, LLC
left Aug 7, 2024, registered Aug 14, 2024 (7 days) · Affiliated broker-dealer or bank to independent RIA
Sagepoint Financial, Inc. to Osaic Wealth, Inc.
left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
Ensemble Financial Services, Inc. to Sagepoint Financial, Inc.
left Aug 1, 2011, registered Apr 23, 2021 (3553 days) · Other
LPL Financial LLC to Ensemble Financial Services, Inc.
left Apr 13, 2005, registered Mar 7, 2011 (2154 days) · Other

Signals

Pina Formicola left Independent Solutions Wealth Management, Llc for Lpl Financial Llc (registered 2026-06-26)
Jul 8, 2026 · Advisor changed firm · fact
Pina Formicola left Osaic Wealth, Inc. for Independent Solutions Wealth Management, Llc (registered 2024-08-14)
Aug 7, 2024 · 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: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address