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
Troy Swaner
Feed of 09/14/2026
Also filed as Troy Don Swaner
At current firm
1 y
since Feb 7, 2025
In the industry
30 y
since Aug 20, 1996 (earliest exam, job or registration)
Prior registered firms
7
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
- J.P. Morgan Securities LLC wirehouse currentsince Feb 7, 2025 · Dallas, Tx
- LPL Financial LLC BD affiliatedJun 9, 2021 to Jul 20, 2023 · Dallas, Tx
- Bmo Harris Financial Advisors, Inc formerJan 13, 2021 to Mar 24, 2021 · Dallas, Tx
- UBS Financial Services Inc. wirehouseMar 11, 2019 to Oct 7, 2020 · Dallas, Tx
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAug 15, 2013 to Mar 12, 2019 · Dallas, Tx
- Citigroup Global Markets Inc. BD affiliatedAug 18, 2010 to May 17, 2013 · Dallas, Tx
- Wells Fargo Investments, LLC unclassifiedNov 20, 2006 to Aug 24, 2010 · Dallas, Tx
- Eagle Strategies LLC BD affiliatedOct 30, 2002 to Feb 24, 2005 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to J.P. Morgan Securities LLCleft Jul 20, 2023, registered Feb 7, 2025 (568 days) · Affiliated broker-dealer or bank to wirehouse
- Bmo Harris Financial Advisors, Inc to LPL Financial LLCleft Mar 24, 2021, registered Jun 9, 2021 (77 days) · corporate re-registration, not a move
- UBS Financial Services Inc. to Bmo Harris Financial Advisors, Incleft Oct 7, 2020, registered Jan 13, 2021 (98 days) · Wirehouse to affiliated broker-dealer or bank
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to UBS Financial Services Inc.left Mar 12, 2019, registered Mar 11, 2019 (-1 days) · Wirehouse to wirehouse
- Citigroup Global Markets Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft May 17, 2013, registered Aug 15, 2013 (90 days) · Other
- Wells Fargo Investments, LLC to Citigroup Global Markets Inc.left Aug 24, 2010, registered Aug 18, 2010 (-6 days) · Other
- Eagle Strategies LLC to Wells Fargo Investments, LLCleft Feb 24, 2005, registered Nov 20, 2006 (634 days) · Other
Signals
- Troy Swaner left Lpl Financial Llc for J.P. Morgan Securities Llc (registered 2025-02-07)Jul 20, 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address