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
Sean Anthony Phillips
Certified Financial Planner
Feed of 09/14/2026
At current firm
7 y
since Apr 18, 2019
In the industry
23 y
since Oct 10, 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
- Cwm, LLC BD affiliated currentsince Apr 18, 2019 · Dallas, Tx
- Chessman Wealth Strategies formerNov 2, 2010 to Mar 30, 2020 · Dallas, Tx
- Commonwealth Financial Network national BDSep 9, 2009 to Nov 2, 2010 · Dallas, Tx
- 1st Global Advisors Inc formerSep 13, 2006 to Jul 5, 2007 · Dallas, Tx
- Cpf Texas formerJan 13, 2005 to Aug 24, 2006 · Plano, Tx
- LPL Financial LLC BD affiliatedDec 3, 2004 to Sep 1, 2006 · Plano, Tx
- UBS Financial Services Inc. wirehouseOct 11, 2002 to Jan 27, 2004 · Addison, Tx
Moves
a registration end followed by a registration begin elsewhere
- Chessman Wealth Strategies to Cwm, LLCleft Mar 30, 2020, registered Apr 18, 2019 (-347 days) · RIA to RIA · moved with a team
- Commonwealth Financial Network to Chessman Wealth Strategiesleft Nov 2, 2010, registered Nov 2, 2010 (0 days) · Other
- 1st Global Advisors Inc to Commonwealth Financial Networkleft Jul 5, 2007, registered Sep 9, 2009 (797 days) · Other
- LPL Financial LLC to Cpf Texasleft Sep 1, 2006, registered Jan 13, 2005 (-596 days) · Other
- Cpf Texas to 1st Global Advisors Incleft Aug 24, 2006, registered Sep 13, 2006 (20 days) · Other
- UBS Financial Services Inc. to LPL Financial LLCleft Jan 27, 2004, registered Dec 3, 2004 (311 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address