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
Amie T Thompson
Feed of 09/14/2026
Also filed as Amie T Thompson
At current firm
0 y
since Aug 27, 2026
In the industry
32 y
since Jan 6, 1994 (earliest exam, job or registration)
Prior registered firms
5
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 27, 2026 · Salt Lake City, Ut
- Ameriprise Financial Services, LLC national BDMar 28, 2014 to Aug 21, 2026 · Midvale, Ut
- Morgan Stanley wirehouseJun 1, 2009 to Mar 10, 2014 · Salt Lake City, Ut
- Morgan Stanley & Co. LLC unclassifiedDec 2, 2008 to Jun 1, 2009 · Salt Lake City, Ut
- UBS Financial Services Inc. wirehouseAug 12, 2006 to Dec 16, 2008 · Salt Lake City, Ut
- Piper Sandler & Co. institutionalJun 28, 2002 to Aug 12, 2006 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- Ameriprise Financial Services, LLC to Raymond James & Associates, Inc.left Aug 21, 2026, registered Aug 27, 2026 (6 days) · Affiliated broker-dealer or bank to another · moved with a team
- Morgan Stanley to Ameriprise Financial Services, LLCleft Mar 10, 2014, registered Mar 28, 2014 (18 days) · Wirehouse to affiliated broker-dealer or bank
- Morgan Stanley & Co. LLC to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- UBS Financial Services Inc. to Morgan Stanley & Co. LLCleft Dec 16, 2008, registered Dec 2, 2008 (-14 days) · Other
- Piper Sandler & Co. to UBS Financial Services Inc.left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
Signals
- Amie T Thompson left Ameriprise Financial Services, Llc for Raymond James & Associates, Inc. (registered 2026-08-27)Aug 21, 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address