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
Tracy Marie Kliewer
Feed of 09/15/2026
Also filed as Tracy Marie Robertson
At current firm
8 y
since May 23, 2018
In the industry
26 y
since Sep 22, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince May 23, 2018 · Citrus Heights, Ca
- Nationwide Securities, LLC no RAUMNov 16, 2011 to May 9, 2018 · Sacramento, Ca
- Pathway Strategic Advisors formerAug 10, 2011 to Sep 29, 2011 · Folsom, Ca
- Aw Securities formerJun 11, 2008 to Sep 28, 2011 · Folsom, Ca
- Allworth Financial, L.P. BD affiliatedAug 2, 2007 to Sep 29, 2011 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- Nationwide Securities, LLC to LPL Financial LLCleft May 9, 2018, registered May 23, 2018 (14 days) · Other
- Allworth Financial, L.P. to Aw Securitiesleft Sep 29, 2011, registered Jun 11, 2008 (-1205 days) · Other
- Pathway Strategic Advisors to Nationwide Securities, LLCleft Sep 29, 2011, registered Nov 16, 2011 (48 days) · Other
- Aw Securities to Pathway Strategic Advisorsleft Sep 28, 2011, registered Aug 10, 2011 (-49 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address