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

Scott E Grooms

Mercer Global Advisors Inc.independent RIAMill Valley, Ca IA-onlyIAPD 1948212

Certified Financial Planner

Feed of 09/15/2026

At current firm

0 y

since Jun 1, 2026

In the industry

35 y

since Feb 22, 1991 (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

Mercer Global Advisors Inc. independent RIA current
since Jun 1, 2026 · Denver, Co
Cetera Investment Advisers LLC BD affiliated
Jun 29, 2023 to Jan 27, 2026 · Mill Valley, Ca
Cwm, LLC BD affiliated
Dec 18, 2020 to Jun 2, 2026 · Heber, Ut
Cetera Advisor Networks LLC former
Dec 18, 2020 to Jun 29, 2023 · Mill Valley, Ca
Mariner Advisor Network BD affiliated
Jul 7, 2016 to Jan 4, 2021 · Mill Valley, Ca
Strategic Wealth Advisors Group former
Mar 3, 2016 to Jul 7, 2016 · Mill Valley, Ca
LPL Financial LLC BD affiliated
Feb 27, 2004 to Mar 10, 2017 · Mill Valley, Ca
Banc Of America Investment Services, Inc. unclassified
Sep 2, 2003 to Dec 1, 2003 · Mill Valley, Ca
Citigroup Global Markets Inc. BD affiliated
Mar 30, 1998 to Sep 12, 2003 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

Cwm, LLC to Cetera Investment Advisers LLC
left Jun 2, 2026, registered Jun 29, 2023 (-1069 days) · Affiliated broker-dealer or bank to another
Cetera Investment Advisers LLC to Mercer Global Advisors Inc.
left Jan 27, 2026, registered Jun 1, 2026 (125 days) · Affiliated broker-dealer or bank to independent RIA
Cetera Advisor Networks LLC to Cwm, LLC
left Jun 29, 2023, registered Dec 18, 2020 (-923 days) · Affiliated broker-dealer or bank to another · moved with a team
Mariner Advisor Network to Cetera Advisor Networks LLC
left Jan 4, 2021, registered Dec 18, 2020 (-17 days) · RIA to affiliated broker-dealer or bank
LPL Financial LLC to Strategic Wealth Advisors Group
left Mar 10, 2017, registered Mar 3, 2016 (-372 days) · Other
Strategic Wealth Advisors Group to Mariner Advisor Network
left Jul 7, 2016, registered Jul 7, 2016 (0 days) · corporate re-registration, not a move
Banc Of America Investment Services, Inc. to LPL Financial LLC
left Dec 1, 2003, registered Feb 27, 2004 (88 days) · Other
Citigroup Global Markets Inc. to Banc Of America Investment Services, Inc.
left Sep 12, 2003, registered Sep 2, 2003 (-10 days) · Other

Signals

Scott E Grooms left Cwm, Llc for Cetera Investment Advisers Llc (registered 2023-06-29)
Jun 2, 2026 · Advisor changed firm · fact
Scott E Grooms left Cetera Investment Advisers Llc for Mercer Global Advisors Inc. (registered 2026-06-01)
Jan 27, 2026 · Advisor changed firm · fact
Scott E Grooms left Cetera Advisor Networks Llc for Cwm, Llc (registered 2020-12-18)
Jun 29, 2023 · 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: Independent wealth managerderived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address