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

Shawn Neice

Td Private Client Wealth LLCBD affiliatedToms River, Nj dual registrantIAPD 2979084

Feed of 09/15/2026

Also filed as Shawn Michael Neice

At current firm

1 y

since Sep 3, 2025

In the industry

28 y

since Jan 30, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Td Private Client Wealth LLC BD affiliated current
since Sep 3, 2025 · Toms River, Nj
LPL Enterprise, LLC BD affiliated
May 21, 2025 to Aug 19, 2025 · Bedminster, Nj
Pnc Wealth Management BD affiliated
May 11, 2022 to May 16, 2025 · Brick, Nj
Santander Securities BD affiliated
May 14, 2019 to May 9, 2022 · Toms River, Nj
Lord, Abbett & Co. LLC asset manager
Jul 8, 2013 to May 3, 2019 · Jersey City, Nj

Moves

a registration end followed by a registration begin elsewhere

LPL Enterprise, LLC to Td Private Client Wealth LLC
left Aug 19, 2025, registered Sep 3, 2025 (15 days) · Affiliated broker-dealer or bank to another
Pnc Wealth Management to LPL Enterprise, LLC
left May 16, 2025, registered May 21, 2025 (5 days) · Affiliated broker-dealer or bank to another
Santander Securities to Pnc Wealth Management
left May 9, 2022, registered May 11, 2022 (2 days) · Affiliated broker-dealer or bank to another
Lord, Abbett & Co. LLC to Santander Securities
left May 3, 2019, registered May 14, 2019 (11 days) · Other

Signals

Shawn Neice left Lpl Enterprise, Llc for Td Private Client Wealth Llc (registered 2025-09-03)
Aug 19, 2025 · Advisor changed firm · fact
Shawn Neice left Pnc Wealth Management for Lpl Enterprise, Llc (registered 2025-05-21)
May 16, 2025 · Advisor changed firm · fact
Shawn Neice left Santander Securities for Pnc Wealth Management (registered 2022-05-11)
May 9, 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