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
Samuel A. Braun
Certified Financial Planner
Feed of 09/15/2026
Also filed as Samuel A Braun
At current firm
1 y
since Mar 31, 2025
In the industry
29 y
since Mar 31, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Strategic Advisers LLC national BD currentsince Mar 31, 2025 · Wheeling, Il
- Fidelity Personal And Workplace Advisors formerApr 4, 2022 to Mar 31, 2025 · Highland Park, Il
- Salient Capital Advisors, LLC formerJan 13, 2014 to Apr 20, 2015 · Houston, Tx
- Eagle Asset Management Inc mixed wealthAug 29, 2011 to Jan 21, 2014 · St. Petersburg, Fl
- Private Vista, LLC formerFeb 3, 1999 to Jun 15, 2010 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to Strategic Advisers LLCleft Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- Salient Capital Advisors, LLC to Fidelity Personal And Workplace Advisorsleft Apr 20, 2015, registered Apr 4, 2022 (2541 days) · Other
- Eagle Asset Management Inc to Salient Capital Advisors, LLCleft Jan 21, 2014, registered Jan 13, 2014 (-8 days) · Other
- Private Vista, LLC to Eagle Asset Management Incleft Jun 15, 2010, registered Aug 29, 2011 (440 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address