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
Shannon Miguel Harris
Feed of 09/14/2026
At current firm
4 y
since Mar 24, 2022
In the industry
26 y
since Jan 31, 2000 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Mar 24, 2022 · Burlington, Nc
- Geneos Wealth Management, Inc. BD affiliatedNov 5, 2014 to Mar 25, 2022 · Burlington, Nc
- Wells Fargo Advisors wirehouseJun 26, 2009 to Nov 5, 2014 · Graham, Nc
- Suntrust Investment Services, Inc. formerJul 24, 2008 to Jul 21, 2009 · Burlington, Nc
Moves
a registration end followed by a registration begin elsewhere
- Geneos Wealth Management, Inc. to LPL Financial LLCleft Mar 25, 2022, registered Mar 24, 2022 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- Wells Fargo Advisors to Geneos Wealth Management, Inc.left Nov 5, 2014, registered Nov 5, 2014 (0 days) · Other
- Suntrust Investment Services, Inc. to Wells Fargo Advisorsleft Jul 21, 2009, registered Jun 26, 2009 (-25 days) · Other
Signals
- Shannon Miguel Harris left Geneos Wealth Management, Inc. for Lpl Financial Llc (registered 2022-03-24)Mar 25, 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address