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

Sean Joseph Conti

LPL Enterprise, LLCBD affiliatedPlano, Txdual registrantIAPD 2758977

Feed of 09/14/2026

Also filed as Sean Joseph Conti

At current firm

1 y

since Nov 14, 2024

In the industry

29 y

since Jun 20, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Enterprise, LLC BD affiliated current
since Nov 14, 2024 · Plano, Tx
Pruco Securities, LLC no RAUM
Dec 5, 2023 to Nov 14, 2024 · Austin, Tx
Ae Wealth Management, LLC BD affiliated
Jun 15, 2023 to Nov 10, 2023 · Austin, Tx
Core Capital Management And Research Inc. mixed wealth
Mar 30, 2022 to Sep 26, 2023 · Houston, Tx
Cx Institutional, LLC independent RIA
Aug 13, 2021 to Dec 8, 2021 · Houston, Tx
Valic Financial Advisors, Inc. BD affiliated
Jul 8, 2016 to Aug 20, 2021 · Houston, Tx
Alterna Wealth Management, Inc. independent RIA
Mar 25, 2014 to Nov 19, 2014 · Houston, Tx
Fisher Investments independent RIA
Aug 26, 2013 to Feb 11, 2014 · Houston, Tx
Strategic Advisers LLC national BD
Oct 20, 1998 to Aug 27, 2013 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

Pruco Securities, LLC to LPL Enterprise, LLC
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
Ae Wealth Management, LLC to Pruco Securities, LLC
left Nov 10, 2023, registered Dec 5, 2023 (25 days) · Affiliated broker-dealer or bank to another
Core Capital Management And Research Inc. to Ae Wealth Management, LLC
left Sep 26, 2023, registered Jun 15, 2023 (-103 days) · Other
Cx Institutional, LLC to Core Capital Management And Research Inc.
left Dec 8, 2021, registered Mar 30, 2022 (112 days) · Other
Valic Financial Advisors, Inc. to Cx Institutional, LLC
left Aug 20, 2021, registered Aug 13, 2021 (-7 days) · Affiliated broker-dealer or bank to independent RIA
Alterna Wealth Management, Inc. to Valic Financial Advisors, Inc.
left Nov 19, 2014, registered Jul 8, 2016 (597 days) · Other
Fisher Investments to Alterna Wealth Management, Inc.
left Feb 11, 2014, registered Mar 25, 2014 (42 days) · Other
Strategic Advisers LLC to Fisher Investments
left Aug 27, 2013, registered Aug 26, 2013 (-1 days) · Other

Signals

Sean Joseph Conti left Ae Wealth Management, Llc for Pruco Securities, Llc (registered 2023-12-05)
Nov 10, 2023 · Advisor changed firm · fact
Sean Joseph Conti left Core Capital Management And Research Inc. for Ae Wealth Management, Llc (registered 2023-06-15)
Sep 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: Broker-dealer affiliated wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address