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

Lauren Ann Ricca

LPL Financial LLCBD affiliatedFort Mill, Sc dual registrantIAPD 4856342

Certified Financial Planner

Feed of 09/14/2026

Also filed as Lauren Waters

At current firm

0 y

since Feb 6, 2026

In the industry

14 y

since Mar 12, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

LPL Financial LLC BD affiliated current
since Feb 6, 2026 · Fort Mill, Sc
Alliancebernstein L.P. other
Sep 12, 2024 to Feb 25, 2026 · New York, Ny
Wells Fargo Advisors wirehouse
May 16, 2023 to Oct 3, 2024 · Short Hills, Nj
Kestra Advisory Services, LLC BD affiliated
Mar 7, 2022 to Dec 1, 2022 · Paramus, Nj
Aj Wealth former
Nov 11, 2021 to Jan 17, 2022 · New York, Ny
Maltin Wealth Management, Inc. independent RIA
May 12, 2020 to Oct 18, 2021 · Wyckoff, Nj
Alliancebernstein L.P. other
Apr 22, 2019 to Aug 8, 2019 · New York, Ny
Advice And Planning Services BD affiliated
Jan 11, 2018 to Dec 27, 2018 · Hackensack, Nj
Cetera Investment Advisers LLC BD affiliated
Apr 19, 2017 to Jan 5, 2018 · Rochelle Park, Nj
Sanford C. Bernstein & Co., LLC other
Mar 11, 2013 to Mar 15, 2013 · New York, Ny
Alliancebernstein L.P. other
Mar 13, 2012 to Feb 22, 2016 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

Alliancebernstein L.P. to LPL Financial LLC
left Feb 25, 2026, registered Feb 6, 2026 (-19 days) · Other
Wells Fargo Advisors to Alliancebernstein L.P.
left Oct 3, 2024, registered Sep 12, 2024 (-21 days) · Other
Kestra Advisory Services, LLC to Wells Fargo Advisors
left Dec 1, 2022, registered May 16, 2023 (166 days) · Affiliated broker-dealer or bank to wirehouse
Aj Wealth to Kestra Advisory Services, LLC
left Jan 17, 2022, registered Mar 7, 2022 (49 days) · RIA to affiliated broker-dealer or bank
Maltin Wealth Management, Inc. to Aj Wealth
left Oct 18, 2021, registered Nov 11, 2021 (24 days) · RIA to RIA
Alliancebernstein L.P. to Maltin Wealth Management, Inc.
left Aug 8, 2019, registered May 12, 2020 (278 days) · Other
Advice And Planning Services to Alliancebernstein L.P.
left Dec 27, 2018, registered Apr 22, 2019 (116 days) · Other
Cetera Investment Advisers LLC to Advice And Planning Services
left Jan 5, 2018, registered Jan 11, 2018 (6 days) · Other
Alliancebernstein L.P. to Sanford C. Bernstein & Co., LLC
left Feb 22, 2016, registered Mar 11, 2013 (-1078 days) · Other
Sanford C. Bernstein & Co., LLC to Cetera Investment Advisers LLC
left Mar 15, 2013, registered Apr 19, 2017 (1496 days) · Other

Signals

Lauren Ann Ricca left Alliancebernstein L.P. for Lpl Financial Llc (registered 2026-02-06)
Feb 25, 2026 · Advisor changed firm · fact
Lauren Ann Ricca left Wells Fargo Advisors for Alliancebernstein L.P. (registered 2024-09-12)
Oct 3, 2024 · Advisor changed firm · fact
Lauren Ann Ricca left Kestra Advisory Services, Llc for Wells Fargo Advisors (registered 2023-05-16)
Dec 1, 2022 · Advisor changed firm · fact
Lauren Ann Ricca left Aj Wealth for Kestra Advisory Services, Llc (registered 2022-03-07)
Jan 17, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address