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

Robert George Vail

LPL Financial LLCBD affiliatedPortland, Me dual registrantIAPD 4815885

Feed of 09/15/2026

At current firm

1 y

since Oct 22, 2024

In the industry

22 y

since Sep 8, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Oct 22, 2024 · Portland, Me
Pruco Securities, LLC no RAUM
Sep 15, 2023 to Sep 19, 2024 · Portland, Me
Td Private Client Wealth LLC BD affiliated
May 18, 2020 to Oct 12, 2022 · Portland, Me
Charter Oak Capital Management former
Feb 29, 2016 to Nov 1, 2018 · Portland, Me
People'S Securities, Inc. former
Jan 19, 2012 to Jan 25, 2016 · Kennebunk, Me
Geneos Wealth Management, Inc. BD affiliated
Oct 21, 2010 to Oct 10, 2011 · Lancaster, Pa
Chase Investment Services Corp. former
Dec 20, 2005 to Nov 4, 2008 · Lake Havasu City, Az
Ameriprise Financial Services, LLC national BD
Sep 15, 2004 to Oct 27, 2005 · South Portland, Me

Moves

a registration end followed by a registration begin elsewhere

Pruco Securities, LLC to LPL Financial LLC
left Sep 19, 2024, registered Oct 22, 2024 (33 days) · Affiliated broker-dealer or bank to another
Td Private Client Wealth LLC to Pruco Securities, LLC
left Oct 12, 2022, registered Sep 15, 2023 (338 days) · Affiliated broker-dealer or bank to another
Charter Oak Capital Management to Td Private Client Wealth LLC
left Nov 1, 2018, registered May 18, 2020 (564 days) · RIA to affiliated broker-dealer or bank
People'S Securities, Inc. to Charter Oak Capital Management
left Jan 25, 2016, registered Feb 29, 2016 (35 days) · Other
Geneos Wealth Management, Inc. to People'S Securities, Inc.
left Oct 10, 2011, registered Jan 19, 2012 (101 days) · Other
Chase Investment Services Corp. to Geneos Wealth Management, Inc.
left Nov 4, 2008, registered Oct 21, 2010 (716 days) · Other
Ameriprise Financial Services, LLC to Chase Investment Services Corp.
left Oct 27, 2005, registered Dec 20, 2005 (54 days) · Other

Signals

Robert George Vail left Pruco Securities, Llc for Lpl Financial Llc (registered 2024-10-22)
Sep 19, 2024 · Advisor changed firm · fact
Robert George Vail left Td Private Client Wealth Llc for Pruco Securities, Llc (registered 2023-09-15)
Oct 12, 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: 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