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

Thomas Francis Dunn

LPL Enterprise, LLCBD affiliatedMadison, Widual registrantIAPD 4556872

Feed of 09/14/2026

Also filed as Tommy Dunn

At current firm

0 y

since Oct 2, 2025

In the industry

24 y

since Aug 23, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Enterprise, LLC BD affiliated current
since Oct 2, 2025 · Madison, Wi
Pruco Securities, LLC no RAUM
Aug 11, 2020 to Dec 6, 2024 · Wauwatosa, Wi
MML Investors Services, LLC BD affiliated
Sep 26, 2018 to Dec 31, 2019 · Madison, Wi
Kma Financial Services, LLC unclassified
Mar 20, 2017 to Apr 17, 2018 · Madison, Wi
Pruco Securities, LLC no RAUM
Dec 20, 2010 to Dec 21, 2016 · Verona, Wi
Thompson Investment Management, Inc. mixed wealth
Jan 12, 2004 to Feb 4, 2009 · Madison, Wi
Wisconsin Capital Management, LLC independent RIA
Jan 11, 2003 to Jan 9, 2004 · Madison, Wi

Moves

a registration end followed by a registration begin elsewhere

Pruco Securities, LLC to LPL Enterprise, LLC
left Dec 6, 2024, registered Oct 2, 2025 (300 days) · Affiliated broker-dealer or bank to another · moved with a team
MML Investors Services, LLC to Pruco Securities, LLC
left Dec 31, 2019, registered Aug 11, 2020 (224 days) · Affiliated broker-dealer or bank to another
Kma Financial Services, LLC to MML Investors Services, LLC
left Apr 17, 2018, registered Sep 26, 2018 (162 days) · Other
Pruco Securities, LLC to Kma Financial Services, LLC
left Dec 21, 2016, registered Mar 20, 2017 (89 days) · Other
Thompson Investment Management, Inc. to Pruco Securities, LLC
left Feb 4, 2009, registered Dec 20, 2010 (684 days) · Other
Wisconsin Capital Management, LLC to Thompson Investment Management, Inc.
left Jan 9, 2004, registered Jan 12, 2004 (3 days) · Other

Signals

Thomas Francis Dunn left Pruco Securities, Llc for Lpl Enterprise, Llc (registered 2025-10-02)
Dec 6, 2024 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address