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
Frank M. Sarubbi
Feed of 09/14/2026
At current firm
6 y
since Jan 17, 2020
In the industry
25 y
since Oct 20, 2000 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- Sovereign Wealth Advisors LLC independent RIA currentsince Jan 17, 2020 · Houston, Tx
- Sovereign Wealth Advisors LLC independent RIAJun 29, 2015 to Dec 31, 2019 · Houston, Tx
- LPL Financial LLC BD affiliatedOct 23, 2007 to Mar 4, 2016 · Houston, Tx
- First Midamerica Investment Corporation unclassifiedAug 30, 2005 to Oct 22, 2007 · Houston, Tx
- Morgan Stanley Dw Inc. unclassifiedAug 14, 2002 to Aug 29, 2005 · Sugar Land, Tx
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOct 24, 2000 to Aug 27, 2002 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to Sovereign Wealth Advisors LLCleft Mar 4, 2016, registered Jun 29, 2015 (-249 days) · Other
- First Midamerica Investment Corporation to LPL Financial LLCleft Oct 22, 2007, registered Oct 23, 2007 (1 days) · Other
- Morgan Stanley Dw Inc. to First Midamerica Investment Corporationleft Aug 29, 2005, registered Aug 30, 2005 (1 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanley Dw Inc.left Aug 27, 2002, registered Aug 14, 2002 (-13 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address