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

Shannon Littlejohn

Valley Financial Management, Inc.BD affiliatedNew York, Ny dual registrantIAPD 2834715

Feed of 09/15/2026

Also filed as Shannon Littlejohn

At current firm

3 y

since Aug 3, 2023

In the industry

26 y

since Jun 27, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Valley Financial Management, Inc. BD affiliated current
since Jul 22, 2026 · St. Petersburg, Fl
Valley Wealth Managers, Inc. independent RIA current
since Aug 3, 2023 · Paramus, Nj
LPL Financial LLC BD affiliated
May 19, 2022 to Jul 12, 2023 · Clearwater, Fl
Cuna Brokerage Services, Inc. former
Jul 16, 2018 to May 24, 2022 · Tampa, Fl
Truist Advisory Services, Inc. BD affiliated
Sep 14, 2016 to Oct 2, 2017 · St. Petersburg, Fl
Suntrust Investment Services, Inc. former
Oct 29, 2015 to Dec 31, 2016 · St. Petersburg, Fl
Td Private Client Wealth LLC BD affiliated
Apr 23, 2013 to Aug 27, 2015 · Tampa, Fl
Morgan Stanley wirehouse
Aug 29, 2012 to Oct 31, 2012 · South Jordan, Ut
Msi Financial Services, Inc. former
Mar 27, 2012 to Jul 25, 2012 · Orlando, Fl
T. Rowe Price Advisory Services, Inc. BD affiliated
May 16, 2011 to Jan 25, 2012 · Tampa, Fl

Moves

a registration end followed by a registration begin elsewhere

LPL Financial LLC to Valley Wealth Managers, Inc.
left Jul 12, 2023, registered Aug 3, 2023 (22 days) · Affiliated broker-dealer or bank to independent RIA
Cuna Brokerage Services, Inc. to LPL Financial LLC
left May 24, 2022, registered May 19, 2022 (-5 days) · corporate re-registration, not a move
Truist Advisory Services, Inc. to Cuna Brokerage Services, Inc.
left Oct 2, 2017, registered Jul 16, 2018 (287 days) · Other
Suntrust Investment Services, Inc. to Truist Advisory Services, Inc.
left Dec 31, 2016, registered Sep 14, 2016 (-108 days) · corporate re-registration, not a move
Td Private Client Wealth LLC to Suntrust Investment Services, Inc.
left Aug 27, 2015, registered Oct 29, 2015 (63 days) · Other
Morgan Stanley to Td Private Client Wealth LLC
left Oct 31, 2012, registered Apr 23, 2013 (174 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
Msi Financial Services, Inc. to Morgan Stanley
left Jul 25, 2012, registered Aug 29, 2012 (35 days) · Other
T. Rowe Price Advisory Services, Inc. to Msi Financial Services, Inc.
left Jan 25, 2012, registered Mar 27, 2012 (62 days) · Other

Signals

Shannon Littlejohn left Lpl Financial Llc for Valley Wealth Managers, Inc. (registered 2023-08-03)
Jul 12, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address