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

Joseph August Frederick

Private Advisor Group, LLCBD affiliatedBlue Bell, Pa dual registrantIAPD 4676225

Feed of 09/15/2026

Also filed as Joseph August Frederick

At current firm

18 y

since Sep 16, 2008

In the industry

22 y

since Mar 24, 2004 (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

Private Advisor Group, LLC BD affiliated current
since Nov 14, 2012 · Morristown, Nj
LPL Financial LLC BD affiliated current
since Sep 16, 2008 · Center Valley, Pa
Capital Planning Wealth Management state registered
Dec 18, 2012 to Jan 26, 2024 · Center Valley, Pa
Cincinnati Analysts, Inc former
Jul 11, 2008 to Sep 17, 2008 · Horsham, Pa
Wharton Equity Corporation unclassified
Aug 16, 2006 to Oct 2, 2007 · Wayne, Pa
Haddon Strategic Alliances, Inc. unclassified
Oct 11, 2004 to Jul 9, 2008 · Haddonfiled, Nj
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Mar 25, 2004 to May 21, 2004 · Somerset, Nj

Moves

a registration end followed by a registration begin elsewhere

Capital Planning Wealth Management to no registered destination
left Jan 26, 2024 · Departure, no registered destination
Cincinnati Analysts, Inc to LPL Financial LLC
left Sep 17, 2008, registered Sep 16, 2008 (-1 days) · Other
Haddon Strategic Alliances, Inc. to Wharton Equity Corporation
left Jul 9, 2008, registered Aug 16, 2006 (-693 days) · Other
Wharton Equity Corporation to Cincinnati Analysts, Inc
left Oct 2, 2007, registered Jul 11, 2008 (283 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Haddon Strategic Alliances, Inc.
left May 21, 2004, registered Oct 11, 2004 (143 days) · Other

Signals

Joseph August Frederick no longer registered at Capital Planning Wealth Management; no later IA registration on IAPD
Jan 26, 2024 · Advisor departure · 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address