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
Carol Ann Schmidlin
Feed of 09/15/2026
At current firm
3 y
since Jun 16, 2023
In the industry
32 y
since Jul 1, 1994 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
8
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
- Prosperity Capital Advisors independent RIA currentsince Jun 16, 2023 · Westlake, Oh
- J. W. Cole Advisors, Inc. BD affiliatedApr 22, 2019 to Jun 26, 2023 · Sewell, Nj
- Global Financial Private Capital, Inc. formerJan 9, 2013 to Apr 24, 2019 · Sewell, Nj
- Spc BD affiliatedOct 24, 2011 to Dec 31, 2012 · Sewell, Nj
- Cadaret Grant & Co Inc formerJan 5, 1998 to Oct 24, 2011 · Syracuse, Ny
Moves
a registration end followed by a registration begin elsewhere
- J. W. Cole Advisors, Inc. to Prosperity Capital Advisorsleft Jun 26, 2023, registered Jun 16, 2023 (-10 days) · Affiliated broker-dealer or bank to independent RIA
- Global Financial Private Capital, Inc. to J. W. Cole Advisors, Inc.left Apr 24, 2019, registered Apr 22, 2019 (-2 days) · corporate re-registration, not a move
- Spc to Global Financial Private Capital, Inc.left Dec 31, 2012, registered Jan 9, 2013 (9 days) · Other
- Cadaret Grant & Co Inc to Spcleft Oct 24, 2011, registered Oct 24, 2011 (0 days) · Other
Signals
- Carol Ann Schmidlin left J. W. Cole Advisors, Inc. for Prosperity Capital Advisors (registered 2023-06-16)Jun 26, 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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address