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
Philip James Clark
Certified Financial Planner
Feed of 09/15/2026
Also filed as Philip Sames Clark
At current firm
2 y
since Oct 30, 2023
In the industry
20 y
since Aug 22, 2006 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Cetera Investment Advisers LLC BD affiliated currentsince Oct 30, 2023 · Richmond, Va
- Avantax Advisory Services formerOct 25, 2019 to Nov 3, 2023 · Pasadena, Ca
- 1st Global Advisors Inc formerApr 4, 2018 to Oct 25, 2019 · Pasadena, Ca
- Raymond James Financial Services Advisors, Inc BD affiliatedJan 12, 2018 to Apr 5, 2018 · St. Petersburg, Fl
- Spc Financial Inc formerJan 14, 2014 to Dec 22, 2017 · Rockville, Md
- Raymond James & Associates, Inc. national BDSep 10, 2009 to Jan 14, 2014 · St. Petersburg, Fl
Moves
a registration end followed by a registration begin elsewhere
- Avantax Advisory Services to Cetera Investment Advisers LLCleft Nov 3, 2023, registered Oct 30, 2023 (-4 days) · Affiliated broker-dealer or bank to another
- 1st Global Advisors Inc to Avantax Advisory Servicesleft Oct 25, 2019, registered Oct 25, 2019 (0 days) · corporate re-registration, not a move
- Raymond James Financial Services Advisors, Inc to 1st Global Advisors Incleft Apr 5, 2018, registered Apr 4, 2018 (-1 days) · Other
- Spc Financial Inc to Raymond James Financial Services Advisors, Incleft Dec 22, 2017, registered Jan 12, 2018 (21 days) · RIA to affiliated broker-dealer or bank
- Raymond James & Associates, Inc. to Spc Financial Incleft Jan 14, 2014, registered Jan 14, 2014 (0 days) · Other
Signals
- Philip James Clark left Avantax Advisory Services for Cetera Investment Advisers Llc (registered 2023-10-30)Nov 3, 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address