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

Joseph E Simon

LPL Financial LLCBD affiliatedRockville, Md dual registrantIAPD 2953425

Feed of 09/15/2026

Also filed as Joseph Edward Simon

At current firm

2 y

since Jan 16, 2024

In the industry

28 y

since Oct 11, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66, 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 Financial LLC BD affiliated current
since Jan 16, 2024 · Tysons, Va
Good Life Advisors, LLC independent RIA
May 5, 2022 to Jan 16, 2024 · Celebration, Fl
First Command Advisory Services BD affiliated
Jun 13, 2017 to Jun 1, 2022 · Newport News, Va
Amundi Pioneer Institutional Asset Management, Inc. former
Apr 20, 2006 to Dec 31, 2016 · Boston, Ma
Amundi Asset Management US, Inc. former
Oct 28, 2004 to Apr 20, 2006 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

Good Life Advisors, LLC to LPL Financial LLC
left Jan 16, 2024, registered Jan 16, 2024 (0 days) · RIA to affiliated broker-dealer or bank
First Command Advisory Services to Good Life Advisors, LLC
left Jun 1, 2022, registered May 5, 2022 (-27 days) · Affiliated broker-dealer or bank to independent RIA
Amundi Pioneer Institutional Asset Management, Inc. to First Command Advisory Services
left Dec 31, 2016, registered Jun 13, 2017 (164 days) · Other
Amundi Asset Management US, Inc. to Amundi Pioneer Institutional Asset Management, Inc.
left Apr 20, 2006, registered Apr 20, 2006 (0 days) · corporate re-registration, not a move

Signals

Joseph E Simon left Good Life Advisors, Llc for Lpl Financial Llc (registered 2024-01-16)
Jan 16, 2024 · Advisor changed firm · fact
Joseph E Simon left First Command Advisory Services for Good Life Advisors, Llc (registered 2022-05-05)
Jun 1, 2022 · 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address