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
Thomas George Dolby
Certified Financial Planner
Feed of 09/14/2026
Also filed as Tom Dolby
At current firm
1 y
since Jul 3, 2025
In the industry
20 y
since Mar 25, 2006 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Schwab Wealth Advisory, Inc. no RAUM currentsince Jul 3, 2025 · San Francisco, Ca
- RBC Securities, Inc. BD affiliatedFeb 21, 2019 to Jan 24, 2025 · San Francisco, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseApr 15, 2016 to Oct 3, 2018 · San Francisco, Ca
- Ameriprise Financial Services, LLC national BDAug 24, 2015 to Nov 3, 2015 · San Francisco, Ca
- Wells Fargo Advisors wirehouseApr 9, 2015 to Jun 1, 2015 · San Francisco, Ca
- Northwestern Mutual Investment Services,LLC no RAUMNov 23, 2011 to Nov 5, 2014 · San Francisco, Ca
- Shelton Capital Management mixed wealthJul 7, 2010 to Sep 9, 2010 · Denver, Co
- Ameriprise Financial Services, LLC national BDJun 12, 2008 to Feb 24, 2009 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- RBC Securities, Inc. to Schwab Wealth Advisory, Inc.left Jan 24, 2025, registered Jul 3, 2025 (160 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to RBC Securities, Inc.left Oct 3, 2018, registered Feb 21, 2019 (141 days) · Wirehouse to independent RIA
- Ameriprise Financial Services, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Nov 3, 2015, registered Apr 15, 2016 (164 days) · Affiliated broker-dealer or bank to wirehouse
- Wells Fargo Advisors to Ameriprise Financial Services, LLCleft Jun 1, 2015, registered Aug 24, 2015 (84 days) · Wirehouse to affiliated broker-dealer or bank
- Northwestern Mutual Investment Services,LLC to Wells Fargo Advisorsleft Nov 5, 2014, registered Apr 9, 2015 (155 days) · Other
- Shelton Capital Management to Northwestern Mutual Investment Services,LLCleft Sep 9, 2010, registered Nov 23, 2011 (440 days) · Other
- Ameriprise Financial Services, LLC to Shelton Capital Managementleft Feb 24, 2009, registered Jul 7, 2010 (498 days) · Other
Signals
- Thomas George Dolby left Rbc Securities, Inc. for Schwab Wealth Advisory, Inc. (registered 2025-07-03)Jan 24, 2025 · 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
- No RAUM reportedderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address