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

Alan Thomas Topolski

Commonwealth Financial Networknational BDBlue Ash, Ohdual registrantIAPD 4266699

Feed of 09/14/2026

Also filed as Alan Thomas Topolski

At current firm

1 y

since Apr 21, 2025

In the industry

25 y

since Dec 20, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Commonwealth Financial Network national BD current
since Apr 21, 2025 · Blue Ash, Oh
Cadaret Grant & Co Inc former
Mar 25, 2024 to Mar 31, 2025 · Syracuse, Ny
LPL Financial LLC BD affiliated
Apr 22, 2023 to Dec 7, 2023 · Fort Mill, Sc
Cetera Advisors LLC former
Mar 6, 2012 to Mar 29, 2023 · Chillicothe, Oh
Equitable Advisors, LLC national BD
Jan 17, 2012 to Feb 13, 2012 · Cincinnati, Oh
Cetera Advisors LLC former
Dec 1, 2011 to Dec 31, 2011 · Overland Park, Ks

Moves

a registration end followed by a registration begin elsewhere

Cadaret Grant & Co Inc to Commonwealth Financial Network
left Mar 31, 2025, registered Apr 21, 2025 (21 days) · Affiliated broker-dealer or bank to another
LPL Financial LLC to Cadaret Grant & Co Inc
left Dec 7, 2023, registered Mar 25, 2024 (109 days) · Affiliated broker-dealer or bank to another
Cetera Advisors LLC to LPL Financial LLC
left Mar 29, 2023, registered Apr 22, 2023 (24 days) · Affiliated broker-dealer or bank to another
Equitable Advisors, LLC to Cetera Advisors LLC
left Feb 13, 2012, registered Mar 6, 2012 (22 days) · Other
Cetera Advisors LLC to Equitable Advisors, LLC
left Dec 31, 2011, registered Jan 17, 2012 (17 days) · Other

Signals

Alan Thomas Topolski left Cadaret Grant & Co Inc for Commonwealth Financial Network (registered 2025-04-21)
Mar 31, 2025 · Advisor changed firm · fact
Alan Thomas Topolski left Lpl Financial Llc for Cadaret Grant & Co Inc (registered 2024-03-25)
Dec 7, 2023 · Advisor changed firm · fact
Alan Thomas Topolski left Cetera Advisors Llc for Lpl Financial Llc (registered 2023-04-22)
Mar 29, 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: National broker-dealer RIAderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address