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.
Feed of 09/14/2026
Also filed as Sean P Swanson
At current firm
4 y
since Jan 19, 2022
In the industry
37 y
since Jan 1, 1989 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Smart Wealth, LLC independent RIA currentsince Jan 19, 2022 · Omaha, Ne
- Eagle Strategies LLC BD affiliatedDec 17, 2021 to Jan 11, 2022 · Elkhorn, Ne
- Tlg Advisors, Inc. BD affiliatedFeb 14, 2020 to Oct 20, 2021 · Omaha, Ne
- Eagle Strategies LLC BD affiliatedSep 3, 2015 to Feb 10, 2020 · Omaha, Ne
- Ameritas Advisory Services formerAug 13, 2013 to May 19, 2015 · Lincoln, Ne
- Eagle Strategies LLC BD affiliatedDec 19, 2012 to May 16, 2013 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- Eagle Strategies LLC to Smart Wealth, LLCleft Jan 11, 2022, registered Jan 19, 2022 (8 days) · Affiliated broker-dealer or bank to a newly registered adviser
- Tlg Advisors, Inc. to Eagle Strategies LLCleft Oct 20, 2021, registered Dec 17, 2021 (58 days) · Affiliated broker-dealer or bank to another
- Eagle Strategies LLC to Tlg Advisors, Inc.left Feb 10, 2020, registered Feb 14, 2020 (4 days) · Affiliated broker-dealer or bank to another
- Ameritas Advisory Services to Eagle Strategies LLCleft May 19, 2015, registered Sep 3, 2015 (107 days) · Other
- Eagle Strategies LLC to Ameritas Advisory Servicesleft May 16, 2013, registered Aug 13, 2013 (89 days) · Other
Signals
- Sean Patrick Swanson left Eagle Strategies Llc for Smart Wealth, Llc (registered 2022-01-19)Jan 11, 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
- Independent wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address