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 Nicole Stone
Certified Financial Planner
Feed of 09/14/2026
Also filed as Shannon Nicole Sorg
At current firm
1 y
since Jan 1, 2025
In the industry
25 y
since Aug 21, 2001 (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
2
dated events on this person
Registration history
IAPD current and previous registrations
- Parallel Advisors, LLC independent RIA currentsince Jan 1, 2025 · San Francisco, Ca
- Griffin Black, LLC independent RIAMar 30, 2022 to Mar 7, 2023 · Redwood City, Ca
- Dhr Investment Counsel Ltd formerApr 8, 2015 to Feb 16, 2022 · Oakland, Ca
- Ameriprise Financial Services, LLC national BDOct 8, 2007 to Nov 5, 2009 · Walnut Creek, Ca
- Citigroup Global Markets Inc. BD affiliatedMar 8, 2006 to Sep 25, 2006 · Modesto, Ca
- Alamo Capital independent RIAMar 13, 2002 to Mar 20, 2006 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- Griffin Black, LLC to Parallel Advisors, LLCleft Mar 7, 2023, registered Jan 1, 2025 (666 days) · RIA to RIA
- Dhr Investment Counsel Ltd to Griffin Black, LLCleft Feb 16, 2022, registered Mar 30, 2022 (42 days) · RIA to RIA
- Ameriprise Financial Services, LLC to Dhr Investment Counsel Ltdleft Nov 5, 2009, registered Apr 8, 2015 (1980 days) · Other
- Citigroup Global Markets Inc. to Ameriprise Financial Services, LLCleft Sep 25, 2006, registered Oct 8, 2007 (378 days) · Other
- Alamo Capital to Citigroup Global Markets Inc.left Mar 20, 2006, registered Mar 8, 2006 (-12 days) · Other
Signals
- Shannon Nicole Stone left Griffin Black, Llc for Parallel Advisors, Llc (registered 2025-01-01)Mar 7, 2023 · Advisor changed firm · fact
- Shannon Nicole Stone left Dhr Investment Counsel Ltd for Griffin Black, Llc (registered 2022-03-30)Feb 16, 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address