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
Shane James Clarke
Feed of 09/15/2026
Also filed as Shane J Clarke
At current firm
1 y
since Sep 17, 2025
In the industry
28 y
since Mar 12, 1998 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Prosperity Capital Advisors independent RIA currentsince Sep 17, 2025 · Waterford, Ct
- Fsc Wealth Advisors, LLC independent RIAJul 27, 2016 to Jun 1, 2026 · Waterford, Ct
- Voya Financial Advisors, Inc. BD affiliatedJan 1, 2004 to Dec 15, 2005 · Des Moines, Ia
- Locust Street Securities, Inc. unclassifiedSep 26, 2003 to Jan 1, 2004 · Groton, Ct
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNov 24, 1998 to Aug 13, 2003 · New London, Ct
Moves
a registration end followed by a registration begin elsewhere
- Fsc Wealth Advisors, LLC to Prosperity Capital Advisorsleft Jun 1, 2026, registered Sep 17, 2025 (-257 days) · RIA to RIA
- Voya Financial Advisors, Inc. to Fsc Wealth Advisors, LLCleft Dec 15, 2005, registered Jul 27, 2016 (3877 days) · Other
- Locust Street Securities, Inc. to Voya Financial Advisors, Inc.left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Locust Street Securities, Inc.left Aug 13, 2003, registered Sep 26, 2003 (44 days) · Other
Signals
- Shane James Clarke left Fsc Wealth Advisors, Llc for Prosperity Capital Advisors (registered 2025-09-17)Jun 1, 2026 · 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address