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
Shaun Francis Moynihan
Feed of 09/14/2026
Also filed as Shaun F Moynihan
At current firm
4 y
since Oct 15, 2021
In the industry
24 y
since Apr 3, 2002 (earliest exam, job or registration)
Prior registered firms
6
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- Coppell Advisory Solutions LLC independent RIA currentsince Oct 15, 2021 · Dallas, Tx
- Dempsey Lord Smith, LLC formerJul 22, 2019 to Oct 14, 2021 · Rome, Ga
- Kalos Management formerJun 7, 2017 to Jul 22, 2019 · Belmont, Nc
- Securities America Advisors, Inc. formerJun 18, 2013 to Oct 5, 2015 · Huntersville, Nc
- Tca Financial Group, LLC unclassifiedSep 9, 2004 to Jun 3, 2013 · Charlotte, Nc
- Equitable Advisors, LLC national BDJan 14, 2003 to Sep 10, 2004 · Charlotte, Nc
- UBS Financial Services Inc. wirehouseApr 4, 2002 to Dec 17, 2002 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- Dempsey Lord Smith, LLC to Coppell Advisory Solutions LLCleft Oct 14, 2021, registered Oct 15, 2021 (1 days) · RIA to RIA
- Kalos Management to Dempsey Lord Smith, LLCleft Jul 22, 2019, registered Jul 22, 2019 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Securities America Advisors, Inc. to Kalos Managementleft Oct 5, 2015, registered Jun 7, 2017 (611 days) · Other
- Tca Financial Group, LLC to Securities America Advisors, Inc.left Jun 3, 2013, registered Jun 18, 2013 (15 days) · Other
- Equitable Advisors, LLC to Tca Financial Group, LLCleft Sep 10, 2004, registered Sep 9, 2004 (-1 days) · Other
- UBS Financial Services Inc. to Equitable Advisors, LLCleft Dec 17, 2002, registered Jan 14, 2003 (28 days) · Wirehouse to affiliated broker-dealer or bank
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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address