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
Marc Jonathan Theien
Feed of 09/15/2026
Also filed as Marc Jonathan Theien
At current firm
8 y
since Aug 1, 2018
In the industry
29 y
since Dec 16, 1996 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Midwestern Securities Trading Co.,LLC independent RIA currentsince Aug 1, 2018 · Rockford, Il
- Cetera Investment Advisers LLC BD affiliatedAug 11, 2016 to Aug 1, 2018 · Rockford, Il
- Msi Financial Services, Inc. formerAug 11, 2015 to Aug 10, 2016 · Rockford, Il
- Associated Investment Services, Inc. independent RIAJul 11, 2013 to Jun 15, 2015 · Dekalb, Il
- LPL Financial LLC BD affiliatedJun 21, 2010 to May 17, 2013 · Rockford, Il
- Amcore Investment Services, Inc unclassifiedMar 2, 2009 to Jul 1, 2010 · Rockford, Il
Moves
a registration end followed by a registration begin elsewhere
- Cetera Investment Advisers LLC to Midwestern Securities Trading Co.,LLCleft Aug 1, 2018, registered Aug 1, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
- Msi Financial Services, Inc. to Cetera Investment Advisers LLCleft Aug 10, 2016, registered Aug 11, 2016 (1 days) · Other
- Associated Investment Services, Inc. to Msi Financial Services, Inc.left Jun 15, 2015, registered Aug 11, 2015 (57 days) · Other
- LPL Financial LLC to Associated Investment Services, Inc.left May 17, 2013, registered Jul 11, 2013 (55 days) · Other
- Amcore Investment Services, Inc to LPL Financial LLCleft Jul 1, 2010, registered Jun 21, 2010 (-10 days) · Other
Signals
No dated event on this person.
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address