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 Anton

Steward Partners Investment Advisory, LLCBD affiliatedStamford, Ct dual registrantIAPD 3178051

Feed of 09/14/2026

Also filed as Tracy A Anton

At current firm

0 y

since Jun 30, 2026

In the industry

16 y

since Jan 6, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Steward Partners Investment Advisory, LLC BD affiliated current
since Jun 30, 2026 · Chardon, Oh
UBS Financial Services Inc. wirehouse
Dec 18, 2023 to Jul 15, 2026 · Akron, Oh
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
May 2, 2019 to Dec 18, 2023 · New York, Ny
Concorde Asset Management, LLC BD affiliated
Sep 28, 2017 to Apr 29, 2019 · Ann Arbor, Mi
Arbor Point Advisors former
Apr 14, 2017 to Aug 24, 2017 · Chardon, Oh
Securities America Advisors, Inc. former
Aug 19, 2014 to Aug 24, 2017 · Chardon, Oh
Pnc Wealth Management BD affiliated
Jul 16, 2012 to Aug 15, 2014 · Cleveland, Oh

Moves

a registration end followed by a registration begin elsewhere

UBS Financial Services Inc. to Steward Partners Investment Advisory, LLC
left Jul 15, 2026, registered Jun 30, 2026 (-15 days) · Wirehouse to affiliated broker-dealer or bank
Merrill Lynch, Pierce, Fenner & Smith Incorporated to UBS Financial Services Inc.
left Dec 18, 2023, registered Dec 18, 2023 (0 days) · Wirehouse to wirehouse
Concorde Asset Management, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Apr 29, 2019, registered May 2, 2019 (3 days) · Affiliated broker-dealer or bank to wirehouse
Securities America Advisors, Inc. to Arbor Point Advisors
left Aug 24, 2017, registered Apr 14, 2017 (-132 days) · channel change inside one enterprise, not a move
Arbor Point Advisors to Concorde Asset Management, LLC
left Aug 24, 2017, registered Sep 28, 2017 (35 days) · Other
Pnc Wealth Management to Securities America Advisors, Inc.
left Aug 15, 2014, registered Aug 19, 2014 (4 days) · Other

Signals

Tracy Anton left Ubs Financial Services Inc. for Steward Partners Investment Advisory, Llc (registered 2026-06-30)
Jul 15, 2026 · Advisor changed firm · fact
Tracy Anton left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Ubs Financial Services Inc. (registered 2023-12-18)
Dec 18, 2023 · 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address