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.
Feed of 09/15/2026
At current firm
0 y
since Jan 8, 2026
In the industry
26 y
since Mar 17, 2000 (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
S65, 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
- Mma Securities LLC no RAUM currentsince Jan 8, 2026 · Upper St. Clair, Pa
- Confluence Financial Partners independent RIAJul 6, 2021 to Sep 12, 2025 · Mcmurray, Pa
- Raymond James Financial Services Advisors, Inc BD affiliatedJan 11, 2021 to Jul 7, 2021 · Canonsburg, Pa
- Global Retirement Partners LLC institutionalApr 5, 2017 to Jan 12, 2021 · Pittsburgh, Pa
- RBC Capital Markets, LLC national BDMay 13, 2002 to Jan 9, 2003 · Pittsburgh, Pa
Moves
a registration end followed by a registration begin elsewhere
- Confluence Financial Partners to Mma Securities LLCleft Sep 12, 2025, registered Jan 8, 2026 (118 days) · Other
- Raymond James Financial Services Advisors, Inc to Confluence Financial Partnersleft Jul 7, 2021, registered Jul 6, 2021 (-1 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- Global Retirement Partners LLC to Raymond James Financial Services Advisors, Incleft Jan 12, 2021, registered Jan 11, 2021 (-1 days) · Other
- RBC Capital Markets, LLC to Global Retirement Partners LLCleft Jan 9, 2003, registered Apr 5, 2017 (5200 days) · Other
Signals
- Brian David Stout left Confluence Financial Partners for Mma Securities Llc (registered 2026-01-08)Sep 12, 2025 · 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
- No RAUM reportedderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address