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
Susan Monahan
Feed of 09/15/2026
Also filed as Susan Kay Monahan
At current firm
4 y
since Nov 18, 2021
In the industry
26 y
since Feb 2, 2000 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Ally Invest Advisors independent RIA currentsince Nov 18, 2021 · Charlotte, Nc
- Allstate Financial Advisors, LLC BD affiliatedMay 30, 2019 to Aug 5, 2021 · Destin, Fl
- B. Riley Wealth Advisors, Inc. BD affiliatedAug 2, 2016 to Apr 26, 2017 · Bonita Springs, Fl
- Quest Capital Strategies, Inc. formerAug 16, 2012 to Dec 31, 2015 · Cape Coral, Fl
- Msi Financial Services, Inc. formerNov 24, 2009 to Jul 9, 2012 · Sarasota, Fl
- Harbour Investments, Inc. independent RIAMar 20, 2009 to Sep 14, 2009 · Cape Coral, Fl
- Wells Fargo Advisors wirehouseNov 14, 2007 to Feb 24, 2009 · Lehigh Acres, Fl
- Uvest Financial Services Group, Inc. unclassifiedAug 1, 2007 to Nov 2, 2007 · Ft. Myers, Fl
Moves
a registration end followed by a registration begin elsewhere
- Allstate Financial Advisors, LLC to Ally Invest Advisorsleft Aug 5, 2021, registered Nov 18, 2021 (105 days) · Affiliated broker-dealer or bank to independent RIA
- B. Riley Wealth Advisors, Inc. to Allstate Financial Advisors, LLCleft Apr 26, 2017, registered May 30, 2019 (764 days) · Other
- Quest Capital Strategies, Inc. to B. Riley Wealth Advisors, Inc.left Dec 31, 2015, registered Aug 2, 2016 (215 days) · Other
- Msi Financial Services, Inc. to Quest Capital Strategies, Inc.left Jul 9, 2012, registered Aug 16, 2012 (38 days) · Other
- Harbour Investments, Inc. to Msi Financial Services, Inc.left Sep 14, 2009, registered Nov 24, 2009 (71 days) · Other
- Wells Fargo Advisors to Harbour Investments, Inc.left Feb 24, 2009, registered Mar 20, 2009 (24 days) · Other
- Uvest Financial Services Group, Inc. to Wells Fargo Advisorsleft Nov 2, 2007, registered Nov 14, 2007 (12 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address