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

Flint T Schuller

UBS Financial Services Inc.wirehouseCharlotte, Nc dual registrantIAPD 4771868

Feed of 09/15/2026

Also filed as Flint Titus Schuller

At current firm

0 y

since May 18, 2026

In the industry

22 y

since Apr 19, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

UBS Financial Services Inc. wirehouse current
since May 18, 2026 · Charlotte, Nc
Wells Fargo Advisors wirehouse
Oct 25, 2022 to Jan 13, 2026 · Charlotte, Nc
Dempsey Lord Smith, LLC former
Jun 30, 2021 to Jan 18, 2022 · Rome, Ga
Advice And Planning Services BD affiliated
Nov 27, 2012 to Nov 13, 2020 · Charlotte, Nc
New England Securities Corporation former
Sep 28, 2006 to Feb 14, 2007 · Charleston, Sc
First Command Financial Planning, Inc. former
Sep 2, 2005 to Apr 27, 2006 · Bellevue, Ne
First Command Bank unclassified
Jan 5, 2005 to Sep 2, 2005 · Fort Worth, Tx

Moves

a registration end followed by a registration begin elsewhere

Wells Fargo Advisors to UBS Financial Services Inc.
left Jan 13, 2026, registered May 18, 2026 (125 days) · Wirehouse to wirehouse
Dempsey Lord Smith, LLC to Wells Fargo Advisors
left Jan 18, 2022, registered Oct 25, 2022 (280 days) · RIA to wirehouse
Advice And Planning Services to Dempsey Lord Smith, LLC
left Nov 13, 2020, registered Jun 30, 2021 (229 days) · Affiliated broker-dealer or bank to independent RIA
New England Securities Corporation to Advice And Planning Services
left Feb 14, 2007, registered Nov 27, 2012 (2113 days) · Other
First Command Financial Planning, Inc. to New England Securities Corporation
left Apr 27, 2006, registered Sep 28, 2006 (154 days) · Other
First Command Bank to First Command Financial Planning, Inc.
left Sep 2, 2005, registered Sep 2, 2005 (0 days) · Other

Signals

Flint T Schuller left Wells Fargo Advisors for Ubs Financial Services Inc. (registered 2026-05-18)
Jan 13, 2026 · Advisor changed firm · fact
Flint T Schuller left Dempsey Lord Smith, Llc for Wells Fargo Advisors (registered 2022-10-25)
Jan 18, 2022 · 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: Wirehousederived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address