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
Leann Shea
Feed of 09/14/2026
Also filed as Leann Shea-Floyd
At current firm
1 y
since Nov 21, 2024
In the industry
14 y
since Oct 1, 2011 (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
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
- Cresset Asset Management, LLC independent RIA currentsince Nov 21, 2024 · San Francisco, Ca
- Cerity Partners LLC independent RIAFeb 9, 2022 to Jul 28, 2023 · New York, Ny
- B|O|S formerMay 28, 2021 to Nov 1, 2021 · San Francisco, Ca
- RBC Capital Markets, LLC national BDSep 21, 2020 to May 5, 2021 · Walnut Creek, Ca
- Captrust institutionalJun 3, 2019 to Sep 22, 2020 · Raleigh, Nc
- Natixis Advisors, LLC BD affiliatedMay 17, 2016 to May 20, 2019 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- Cerity Partners LLC to Cresset Asset Management, LLCleft Jul 28, 2023, registered Nov 21, 2024 (482 days) · RIA to RIA
- B|O|S to Cerity Partners LLCleft Nov 1, 2021, registered Feb 9, 2022 (100 days) · RIA to RIA · moved with a team
- RBC Capital Markets, LLC to B|O|Sleft May 5, 2021, registered May 28, 2021 (23 days) · Affiliated broker-dealer or bank to independent RIA
- Captrust to RBC Capital Markets, LLCleft Sep 22, 2020, registered Sep 21, 2020 (-1 days) · Other
- Natixis Advisors, LLC to Captrustleft May 20, 2019, registered Jun 3, 2019 (14 days) · Other
Signals
- Leann Shea left Cerity Partners Llc for Cresset Asset Management, Llc (registered 2024-11-21)Jul 28, 2023 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address