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

Josephine Laspina Trotta

Cwm, LLCBD affiliatedMayfield Height, Oh IA-onlyIAPD 4371755

Feed of 09/15/2026

Also filed as Josephine La Spina Trotta

At current firm

0 y

since Feb 4, 2026

In the industry

25 y

since Aug 30, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Cwm, LLC BD affiliated current
since Feb 4, 2026 · Omaha, Ne
Pathfinder Wealth Advisors LLC former
Oct 22, 2015 to Jun 11, 2026 · Independence, Oh
Advice And Planning Services BD affiliated
Aug 11, 2011 to May 5, 2015 · Dublin, Oh
Stratos Wealth Partners, Ltd BD affiliated
Aug 13, 2010 to Aug 2, 2011 · Fairlawn, Oh
LPL Financial LLC BD affiliated
May 29, 2009 to Dec 31, 2010 · San Diego, Ca
UBS Financial Services Inc. wirehouse
Nov 5, 2004 to May 26, 2009 · Pepper Pike, Oh
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Nov 16, 2001 to Nov 10, 2004 · Cleveland, Oh

Moves

a registration end followed by a registration begin elsewhere

Pathfinder Wealth Advisors LLC to Cwm, LLC
left Jun 11, 2026, registered Feb 4, 2026 (-127 days) · RIA to affiliated broker-dealer or bank
Advice And Planning Services to Pathfinder Wealth Advisors LLC
left May 5, 2015, registered Oct 22, 2015 (170 days) · Other
Stratos Wealth Partners, Ltd to Advice And Planning Services
left Aug 2, 2011, registered Aug 11, 2011 (9 days) · Other
LPL Financial LLC to Stratos Wealth Partners, Ltd
left Dec 31, 2010, registered Aug 13, 2010 (-140 days) · Other
UBS Financial Services Inc. to LPL Financial LLC
left May 26, 2009, registered May 29, 2009 (3 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to UBS Financial Services Inc.
left Nov 10, 2004, registered Nov 5, 2004 (-5 days) · Wirehouse to wirehouse

Signals

Josephine Laspina Trotta left Pathfinder Wealth Advisors Llc for Cwm, Llc (registered 2026-02-04)
Jun 11, 2026 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address