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

Zachary Stuart Brodt

Sl Capitalindependent RIAScottsdale, AzIA-onlyIAPD 5228473

Feed of 09/14/2026

At current firm

2 y

since Nov 16, 2023

In the industry

20 y

since Aug 25, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Sl Capital independent RIA current
since Nov 16, 2023 · Scottsdale, Az
Foundations Investment Advisors LLC independent RIA
May 11, 2022 to Mar 1, 2024 · Phoenix, Az
First Financial Equity Corporation former
Apr 22, 2016 to Apr 22, 2022 · Scottsdale, Az
Raymond James & Associates, Inc. national BD
Jun 26, 2014 to Apr 18, 2016 · Scottsdale, Az
Ashton Thomas Private Wealth independent RIA
Jun 16, 2010 to Jul 18, 2014 · Scottsdale, Az
The Planning Group former
Jun 2, 2008 to Mar 28, 2011 · Scottsdale, Az
Global Financial Private Capital, Inc. former
Nov 14, 2006 to Jun 17, 2008 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

Foundations Investment Advisors LLC to Sl Capital
left Mar 1, 2024, registered Nov 16, 2023 (-106 days) · RIA to a newly registered adviser · moved with a team
First Financial Equity Corporation to Foundations Investment Advisors LLC
left Apr 22, 2022, registered May 11, 2022 (19 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
Raymond James & Associates, Inc. to First Financial Equity Corporation
left Apr 18, 2016, registered Apr 22, 2016 (4 days) · Other
Ashton Thomas Private Wealth to Raymond James & Associates, Inc.
left Jul 18, 2014, registered Jun 26, 2014 (-22 days) · Other
The Planning Group to Ashton Thomas Private Wealth
left Mar 28, 2011, registered Jun 16, 2010 (-285 days) · Other
Global Financial Private Capital, Inc. to The Planning Group
left Jun 17, 2008, registered Jun 2, 2008 (-15 days) · Other

Signals

Zachary Stuart Brodt left Foundations Investment Advisors Llc for Sl Capital (registered 2023-11-16)
Mar 1, 2024 · Advisor changed firm · fact
Zachary Stuart Brodt left First Financial Equity Corporation for Foundations Investment Advisors Llc (registered 2022-05-11)
Apr 22, 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address