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

Shawn Rooney

Facetindependent RIAWest Palm Beach, Fl IA-onlyIAPD 5257697

Certified Financial Planner

Feed of 09/15/2026

Also filed as Shawn Daniel Rooney

At current firm

0 y

since Jul 30, 2026

In the industry

19 y

since Mar 3, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Facet independent RIA current
since Jul 30, 2026 · West Palm Beach, Fl
Ameriprise Financial Services, LLC national BD
Oct 8, 2024 to Jul 29, 2026 · Poplar Grove, Il
Northwestern Mutual Investment Services,LLC no RAUM
Jul 1, 2024 to Sep 4, 2024 · Oak Brook, Il
Midland Wealth Management other
Dec 8, 2023 to Feb 16, 2024 · Rockford, Il
Fidelity Personal And Workplace Advisors former
Jan 23, 2023 to Dec 1, 2023 · Geneva, Il
Raymond James & Associates, Inc. national BD
Dec 2, 2020 to Sep 1, 2022 · Nashville, Tn
Edward Jones national BD
Feb 23, 2012 to Nov 20, 2020 · Rockford, Il
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jan 5, 2011 to Feb 23, 2012 · Rockford, Il
Edward Jones national BD
Mar 6, 2007 to Jan 6, 2011 · Roscoe, Il

Moves

a registration end followed by a registration begin elsewhere

Ameriprise Financial Services, LLC to Facet
left Jul 29, 2026, registered Jul 30, 2026 (1 days) · Affiliated broker-dealer or bank to independent RIA
Northwestern Mutual Investment Services,LLC to Ameriprise Financial Services, LLC
left Sep 4, 2024, registered Oct 8, 2024 (34 days) · Other
Midland Wealth Management to Northwestern Mutual Investment Services,LLC
left Feb 16, 2024, registered Jul 1, 2024 (136 days) · Other
Fidelity Personal And Workplace Advisors to Midland Wealth Management
left Dec 1, 2023, registered Dec 8, 2023 (7 days) · Other
Raymond James & Associates, Inc. to Fidelity Personal And Workplace Advisors
left Sep 1, 2022, registered Jan 23, 2023 (144 days) · Affiliated broker-dealer or bank to another
Edward Jones to Raymond James & Associates, Inc.
left Nov 20, 2020, registered Dec 2, 2020 (12 days) · Affiliated broker-dealer or bank to another
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Edward Jones
left Feb 23, 2012, registered Feb 23, 2012 (0 days) · Wirehouse to affiliated broker-dealer or bank
Edward Jones to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Jan 6, 2011, registered Jan 5, 2011 (-1 days) · Affiliated broker-dealer or bank to wirehouse

Signals

Shawn Rooney left Ameriprise Financial Services, Llc for Facet (registered 2026-07-30)
Jul 29, 2026 · Advisor changed firm · fact
Shawn Rooney left Northwestern Mutual Investment Services,Llc for Ameriprise Financial Services, Llc (registered 2024-10-08)
Sep 4, 2024 · Advisor changed firm · fact
Shawn Rooney left Midland Wealth Management for Northwestern Mutual Investment Services,Llc (registered 2024-07-01)
Feb 16, 2024 · Advisor changed firm · fact
Shawn Rooney left Fidelity Personal And Workplace Advisors for Midland Wealth Management (registered 2023-12-08)
Dec 1, 2023 · Advisor changed firm · fact
Shawn Rooney left Raymond James & Associates, Inc. for Fidelity Personal And Workplace Advisors (registered 2023-01-23)
Sep 1, 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address