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
Shelley Ann Austin
Certified Financial Planner
Feed of 09/14/2026
Also filed as Shelley Ann Austin
At current firm
3 y
since Mar 14, 2023
In the industry
35 y
since Sep 6, 1991 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Wealth Enhancement Advisory Services, LLC BD affiliated currentsince Mar 14, 2023 · Plymouth, Mn
- LPL Financial LLC BD affiliatedApr 11, 2023 to Apr 11, 2023 · Plymouth, Mn
- Quarry Hill Advisors independent RIAJan 20, 2020 to Mar 2, 2023 · Saint Paul, Mn
- Cetera Advisor Networks LLC formerApr 10, 2019 to Dec 6, 2019 · Edina, Mn
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJan 11, 2012 to Oct 8, 2012 · Green Bay, Wi
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to no registered destinationleft Apr 11, 2023 · Departure, no registered destination
- Quarry Hill Advisors to Wealth Enhancement Advisory Services, LLCleft Mar 2, 2023, registered Mar 14, 2023 (12 days) · RIA to affiliated broker-dealer or bank
- Cetera Advisor Networks LLC to Quarry Hill Advisorsleft Dec 6, 2019, registered Jan 20, 2020 (45 days) · Affiliated broker-dealer or bank to independent RIA
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Cetera Advisor Networks LLCleft Oct 8, 2012, registered Apr 10, 2019 (2375 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- Shelley Ann Austin no longer registered at Lpl Financial Llc; no later IA registration on IAPDApr 11, 2023 · Advisor departure · fact
- Shelley Ann Austin left Quarry Hill Advisors for Wealth Enhancement Advisory Services, Llc (registered 2023-03-14)Mar 2, 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address