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

Thomas Richard Sawyer

Raymond James Financial Services Advisors, IncBD affiliatedOakland Park, Fldual registrantIAPD 2955348

Personal Financial Specialist

Feed of 09/14/2026

Also filed as Thomas Richard Sawyer

At current firm

3 y

since Sep 14, 2023

In the industry

28 y

since Nov 6, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Raymond James Financial Services Advisors, Inc BD affiliated current
since Sep 14, 2023 · Oakland Park, Fl
Ameriprise Financial Services, LLC national BD
Apr 28, 2022 to May 30, 2023 · Ft Lauderdale, Fl
Integrated Wealth Concepts LLC independent RIA
Jul 10, 2017 to Feb 28, 2022 · Fort Lauderdale, Fl
Osaic Fa, Inc. former
Dec 16, 2015 to May 15, 2017 · Worcester, Ma
Cetera Investment Advisers LLC BD affiliated
Jul 9, 2004 to Dec 16, 2015 · Ft. Lauderdale, Fl
Genworth Financial Planning Corporation unclassified
Jun 10, 1999 to Oct 29, 2004 · Ft. Lauderdale, Fl

Moves

a registration end followed by a registration begin elsewhere

Ameriprise Financial Services, LLC to Raymond James Financial Services Advisors, Inc
left May 30, 2023, registered Sep 14, 2023 (107 days) · Affiliated broker-dealer or bank to another
Integrated Wealth Concepts LLC to Ameriprise Financial Services, LLC
left Feb 28, 2022, registered Apr 28, 2022 (59 days) · RIA to affiliated broker-dealer or bank
Osaic Fa, Inc. to Integrated Wealth Concepts LLC
left May 15, 2017, registered Jul 10, 2017 (56 days) · Other
Cetera Investment Advisers LLC to Osaic Fa, Inc.
left Dec 16, 2015, registered Dec 16, 2015 (0 days) · Other
Genworth Financial Planning Corporation to Cetera Investment Advisers LLC
left Oct 29, 2004, registered Jul 9, 2004 (-112 days) · Other

Signals

Thomas Richard Sawyer left Ameriprise Financial Services, Llc for Raymond James Financial Services Advisors, Inc (registered 2023-09-14)
May 30, 2023 · Advisor changed firm · fact
Thomas Richard Sawyer left Integrated Wealth Concepts Llc for Ameriprise Financial Services, Llc (registered 2022-04-28)
Feb 28, 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