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
Andrew Tracy
Feed of 09/14/2026
Also filed as Andy L Tracy
At current firm
7 y
since Sep 12, 2019
In the industry
19 y
since Mar 19, 2007 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Ameriprise Financial Services, LLC national BD currentsince Jun 29, 2026 · Columbus, Oh
- Huntington Financial Advisors BD affiliated currentsince Sep 12, 2019 · Columbus, Oh
- J.P. Morgan Securities LLC wirehouseOct 1, 2012 to Sep 10, 2019 · Columbus, Oh
- Chase Investment Services Corp. formerJul 26, 2012 to Oct 1, 2012 · Columbus, Oh
- Morgan Stanley wirehouseMar 16, 2010 to Jul 9, 2012 · Columbus, Oh
- U.S. Bancorp Investments, Inc. formerSep 11, 2008 to Jan 29, 2010 · Columbus, Oh
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMar 20, 2007 to Sep 3, 2008 · Toledo, Oh
Moves
a registration end followed by a registration begin elsewhere
- J.P. Morgan Securities LLC to Huntington Financial Advisorsleft Sep 10, 2019, registered Sep 12, 2019 (2 days) · Wirehouse to affiliated broker-dealer or bank
- Chase Investment Services Corp. to J.P. Morgan Securities LLCleft Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- Morgan Stanley to Chase Investment Services Corp.left Jul 9, 2012, registered Jul 26, 2012 (17 days) · Other
- U.S. Bancorp Investments, Inc. to Morgan Stanleyleft Jan 29, 2010, registered Mar 16, 2010 (46 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to U.S. Bancorp Investments, Inc.left Sep 3, 2008, registered Sep 11, 2008 (8 days) · Other
Signals
No dated event on this person.
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address