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

Shane Davis

Ameriprise Financial Services, LLCnational BDAllentown, Pa dual registrantIAPD 4996196

Feed of 09/17/2026

Also filed as Shane N Davis

At current firm

0 y

since Sep 4, 2026

In the industry

11 y

since Mar 1, 2015 (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

Ameriprise Financial Services, LLC national BD current
since Sep 4, 2026 · Allentown, Pa
LPL Enterprise, LLC BD affiliated current
since Apr 18, 2025 · Warrington, Pa
LPL Enterprise, LLC BD affiliated
Apr 17, 2025 to Sep 16, 2026 · Warrington, Pa
MML Investors Services, LLC BD affiliated
Jun 28, 2024 to Apr 14, 2025 · Allentown, Pa
MML Investors Services, LLC BD affiliated
Jun 28, 2024 to Apr 14, 2025 · Allentown, Pa
Park Avenue Securities LLC BD affiliated
Oct 12, 2022 to May 15, 2024 · Lancaster, Pa
Park Avenue Securities LLC BD affiliated
Oct 12, 2022 to May 15, 2024 · Lancaster, Pa
Elevated Capital Advisors, LLC independent RIA
Jul 13, 2022 to Sep 27, 2022 · Northampton, Pa
Elevated Capital Advisors, LLC independent RIA
Jul 13, 2022 to Sep 27, 2022 · Draper, Ut
Gwn Securities Inc. BD affiliated
Jun 16, 2021 to Jan 3, 2022 · Wayne, Pa
Gwn Securities Inc. BD affiliated
Jun 16, 2021 to Jan 3, 2022 · Palm Beach Gardens, Fl
Pruco Securities, LLC no RAUM
Jul 30, 2020 to Mar 30, 2021 · Edison, Nj
Mutual Of Omaha Investor Services, Inc. independent RIA
Nov 25, 2019 to May 5, 2020 · Bethlehem, Pa

Moves

a registration end followed by a registration begin elsewhere

LPL Enterprise, LLC to Ameriprise Financial Services, LLC
left Sep 16, 2026, registered Sep 4, 2026 (-12 days) · Affiliated broker-dealer or bank to another
MML Investors Services, LLC to LPL Enterprise, LLC
left Apr 14, 2025, registered Apr 17, 2025 (3 days) · Affiliated broker-dealer or bank to another
Park Avenue Securities LLC to MML Investors Services, LLC
left May 15, 2024, registered Jun 28, 2024 (44 days) · Affiliated broker-dealer or bank to another
Elevated Capital Advisors, LLC to Park Avenue Securities LLC
left Sep 27, 2022, registered Oct 12, 2022 (15 days) · RIA to affiliated broker-dealer or bank
Gwn Securities Inc. to Elevated Capital Advisors, LLC
left Jan 3, 2022, registered Jul 13, 2022 (191 days) · Affiliated broker-dealer or bank to independent RIA
Pruco Securities, LLC to Gwn Securities Inc.
left Mar 30, 2021, registered Jun 16, 2021 (78 days) · Affiliated broker-dealer or bank to another
Mutual Of Omaha Investor Services, Inc. to Pruco Securities, LLC
left May 5, 2020, registered Jul 30, 2020 (86 days) · Other

Signals

Shane Davis left LPL Enterprise, LLC for Ameriprise Financial Services, LLC (registered 2026-09-04)
Sep 16, 2026 · Advisor changed firm · fact
Shane Davis left Mml Investors Services, Llc for Lpl Enterprise, Llc (registered 2025-04-18)
Apr 14, 2025 · Advisor changed firm · fact
Shane Davis left Park Avenue Securities Llc for Mml Investors Services, Llc (registered 2024-06-28)
May 15, 2024 · Advisor changed firm · fact
Shane Davis left Elevated Capital Advisors, Llc for Park Avenue Securities Llc (registered 2022-10-12)
Sep 27, 2022 · Advisor changed firm · fact
Shane Davis left Gwn Securities Inc. for Elevated Capital Advisors, Llc (registered 2022-07-13)
Jan 3, 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: National broker-dealer RIAderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address