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

Norman Scott Gunn

Independent Advisor Alliance, LLCindependent RIADallas, TxIA-onlyIAPD 2703289

Certified Financial Planner

Feed of 09/14/2026

At current firm

3 y

since May 22, 2023

In the industry

30 y

since Aug 3, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Independent Advisor Alliance, LLC independent RIA current
since May 22, 2023 · Dallas, Tx
Lido independent RIA
Jul 1, 2015 to Jan 2, 2020 · Dallas, Tx
Lido Advisors former
Mar 28, 2013 to Jul 22, 2015 · Dallas, Tx
Lgt Financial Advisors LLC independent RIA
Sep 16, 2009 to Jan 3, 2023 · Dallas, Tx
Efg Corporation former
Mar 25, 2009 to Jul 6, 2009 · Dallas, Tx
Efg Corporation former
May 16, 2008 to Dec 1, 2008 · Dallas, Tx
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Mar 23, 2006 to Feb 27, 2008 · Chicago, Il
MML Investors Services, LLC BD affiliated
Jun 21, 2004 to Mar 31, 2006 · Chicago, Il
Msi Financial Services, Inc. former
May 24, 2004 to Jun 24, 2004 · Downers Grove, Il
E*Trade Capital Management, LLC former
Nov 30, 2001 to Oct 25, 2002 · Jersey City, Nj
Kpmg Investment Advisors unclassified
May 15, 2000 to Oct 18, 2002 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

Lgt Financial Advisors LLC to Lido Advisors
left Jan 3, 2023, registered Mar 28, 2013 (-3568 days) · Other
Lido to Independent Advisor Alliance, LLC
left Jan 2, 2020, registered May 22, 2023 (1236 days) · RIA to RIA
Lido Advisors to Lido
left Jul 22, 2015, registered Jul 1, 2015 (-21 days) · Other · moved with a team
Efg Corporation to Lgt Financial Advisors LLC
left Jul 6, 2009, registered Sep 16, 2009 (72 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Efg Corporation
left Feb 27, 2008, registered May 16, 2008 (79 days) · Other
MML Investors Services, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Mar 31, 2006, registered Mar 23, 2006 (-8 days) · Other
Msi Financial Services, Inc. to MML Investors Services, LLC
left Jun 24, 2004, registered Jun 21, 2004 (-3 days) · Other
E*Trade Capital Management, LLC to Msi Financial Services, Inc.
left Oct 25, 2002, registered May 24, 2004 (577 days) · Other
Kpmg Investment Advisors to E*Trade Capital Management, LLC
left Oct 18, 2002, registered Nov 30, 2001 (-322 days) · Other

Signals

Norman Scott Gunn left Lgt Financial Advisors Llc for Lido Advisors (registered 2013-03-28)
Jan 3, 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address