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
Susan Rene Sommer
Certified Financial Planner
Feed of 09/15/2026
Also filed as Susan R Sommer
At current firm
4 y
since Aug 10, 2022
In the industry
34 y
since Jan 13, 1992 (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
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Universal Financial Advisors, LLC independent RIA currentsince Aug 10, 2022 · St. Peters, Mo
- Pfg Advisors independent RIAJan 3, 2022 to Aug 16, 2022 · St. Peters, Mo
- Beam Wealth Advisors, Inc. independent RIAApr 20, 2015 to Dec 15, 2021 · St. Peters, Mo
- LPL Financial LLC BD affiliatedSep 8, 2009 to Jul 21, 2015 · St. Peters, Mo
- Mutual Service Corporation unclassifiedFeb 17, 2004 to Sep 8, 2009 · Boston, Ma
- Sommer Investments, L.L.C. unclassifiedSep 14, 1999 to Jul 30, 2004 · St. Charles, Mo
Moves
a registration end followed by a registration begin elsewhere
- Pfg Advisors to Universal Financial Advisors, LLCleft Aug 16, 2022, registered Aug 10, 2022 (-6 days) · RIA to a newly registered adviser · moved with a team
- Beam Wealth Advisors, Inc. to Pfg Advisorsleft Dec 15, 2021, registered Jan 3, 2022 (19 days) · RIA to RIA · moved with a team
- LPL Financial LLC to Beam Wealth Advisors, Inc.left Jul 21, 2015, registered Apr 20, 2015 (-92 days) · Other
- Mutual Service Corporation to LPL Financial LLCleft Sep 8, 2009, registered Sep 8, 2009 (0 days) · corporate re-registration, not a move
- Sommer Investments, L.L.C. to Mutual Service Corporationleft Jul 30, 2004, registered Feb 17, 2004 (-164 days) · Other
Signals
- Susan Rene Sommer left Pfg Advisors for Universal Financial Advisors, Llc (registered 2022-08-10)Aug 16, 2022 · 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address