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

Kerri Allison Allen

Root Financial Partnersindependent RIANew Portland, Me IA-onlyIAPD 4760336

Certified Financial Planner

Feed of 09/14/2026

Also filed as Kerri Allison Guion

At current firm

1 y

since Aug 12, 2025

In the industry

22 y

since Jun 18, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Root Financial Partners independent RIA current
since Aug 12, 2025 · New Portland, Me
Tfc Financial Management Inc independent RIA
Apr 8, 2019 to Aug 4, 2025 · Boston, Ma
MML Investors Services, LLC BD affiliated
Mar 25, 2017 to Mar 25, 2019 · Boston, Ma
Msi Financial Services, Inc. former
Dec 22, 2015 to Mar 25, 2017 · Boston, Ma
Northwestern Mutual Investment Services,LLC no RAUM
Jul 15, 2009 to Nov 23, 2015 · Boston, Ma
Banc Of America Investment Services, Inc. unclassified
Oct 18, 2007 to Mar 25, 2009 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

Tfc Financial Management Inc to Root Financial Partners
left Aug 4, 2025, registered Aug 12, 2025 (8 days) · RIA to RIA
MML Investors Services, LLC to Tfc Financial Management Inc
left Mar 25, 2019, registered Apr 8, 2019 (14 days) · Affiliated broker-dealer or bank to independent RIA
Msi Financial Services, Inc. to MML Investors Services, LLC
left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
Northwestern Mutual Investment Services,LLC to Msi Financial Services, Inc.
left Nov 23, 2015, registered Dec 22, 2015 (29 days) · Other
Banc Of America Investment Services, Inc. to Northwestern Mutual Investment Services,LLC
left Mar 25, 2009, registered Jul 15, 2009 (112 days) · Other

Signals

Kerri Allison Allen left Tfc Financial Management Inc for Root Financial Partners (registered 2025-08-12)
Aug 4, 2025 · 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: Independent wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address