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
Shawn William Mathis
Feed of 09/15/2026
At current firm
7 y
since Oct 16, 2018
In the industry
25 y
since Jan 3, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
2
current registrations
Exams
S65, 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
- Cetera Investment Advisers LLC BD affiliated currentsince Jun 29, 2023 · Estacada, Or
- Financial Management Strategies, Inc. independent RIA currentsince Oct 16, 2018 · Vancouver, Wa
- Ameriprise Financial Services, LLC national BDOct 5, 2009 to Oct 17, 2018 · Dublin, Oh
- Ameriprise Advisor Services, Inc. unclassifiedAug 20, 2007 to Oct 5, 2009 · Columbus, Oh
- Citigroup Global Markets Inc. BD affiliatedFeb 20, 2001 to Aug 22, 2007 · Columbus, Oh
Moves
a registration end followed by a registration begin elsewhere
- Ameriprise Financial Services, LLC to Financial Management Strategies, Inc.left Oct 17, 2018, registered Oct 16, 2018 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- Ameriprise Advisor Services, Inc. to Ameriprise Financial Services, LLCleft Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- Citigroup Global Markets Inc. to Ameriprise Advisor Services, Inc.left Aug 22, 2007, registered Aug 20, 2007 (-2 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address