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

Thomas Alan Graber

Transamerica Financial Advisors, LLCBD affiliatedCedar Rapids, Ia dual registrantIAPD 2008052

Feed of 09/15/2026

Also filed as Thomas Graber

At current firm

1 y

since Aug 15, 2025

In the industry

36 y

since Dec 4, 1989 (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

Transamerica Financial Advisors, LLC BD affiliated current
since Aug 15, 2025 · Berkeley, Ca
Cadaret Grant & Co Inc former
Mar 18, 2024 to Aug 1, 2025 · Syracuse, Ny
RBC Capital Markets, LLC national BD
Sep 24, 2019 to Jan 18, 2023 · San Francisco, Ca
U.S. Bancorp Advisors, LLC BD affiliated
Jan 30, 2019 to Sep 9, 2019 · Walnut Creek, Ca
Prospera Financial Services, Inc. BD affiliated
Jan 9, 2017 to Jul 2, 2018 · Dallas, Tx
Assembly Wealth independent RIA
Aug 11, 2014 to May 31, 2018 · Mill Valley, Ca
Wells Fargo Advisors wirehouse
Jan 1, 2008 to Jul 25, 2014 · Walnut Creek, Ca
A. G. Edwards & Sons, Inc. unclassified
Aug 28, 2006 to Jan 1, 2008 · St. Louis, Mo
Cetera Investment Advisers LLC BD affiliated
Jan 5, 2004 to Jun 1, 2004 · Oakland, Ca

Moves

a registration end followed by a registration begin elsewhere

Cadaret Grant & Co Inc to Transamerica Financial Advisors, LLC
left Aug 1, 2025, registered Aug 15, 2025 (14 days) · Affiliated broker-dealer or bank to another
RBC Capital Markets, LLC to Cadaret Grant & Co Inc
left Jan 18, 2023, registered Mar 18, 2024 (425 days) · Affiliated broker-dealer or bank to another
U.S. Bancorp Advisors, LLC to RBC Capital Markets, LLC
left Sep 9, 2019, registered Sep 24, 2019 (15 days) · Affiliated broker-dealer or bank to another
Prospera Financial Services, Inc. to U.S. Bancorp Advisors, LLC
left Jul 2, 2018, registered Jan 30, 2019 (212 days) · Other
Assembly Wealth to Prospera Financial Services, Inc.
left May 31, 2018, registered Jan 9, 2017 (-507 days) · Other
Wells Fargo Advisors to Assembly Wealth
left Jul 25, 2014, registered Aug 11, 2014 (17 days) · Other
A. G. Edwards & Sons, Inc. to Wells Fargo Advisors
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
Cetera Investment Advisers LLC to A. G. Edwards & Sons, Inc.
left Jun 1, 2004, registered Aug 28, 2006 (818 days) · Other

Signals

Thomas Alan Graber left Cadaret Grant & Co Inc for Transamerica Financial Advisors, Llc (registered 2025-08-15)
Aug 1, 2025 · Advisor changed firm · fact
Thomas Alan Graber left Rbc Capital Markets, Llc for Cadaret Grant & Co Inc (registered 2024-03-18)
Jan 18, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address