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

Scott Farwell

Fifth Third Securities, Inc.BD affiliatedBartlett, Ildual registrantIAPD 5296776

Feed of 09/14/2026

Also filed as Scott Thomas Farwell

At current firm

4 y

since Aug 8, 2022

In the industry

19 y

since May 26, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Fifth Third Securities, Inc. BD affiliated current
since Aug 8, 2022 · Bartlett, Il
Edge Financial Advisors, LLC former
May 4, 2021 to Sep 2, 2022 · Wheaton, Il
Td Ameritrade Investment Management, LLC former
Mar 8, 2016 to Dec 31, 2020 · Schaumburg, Il
Td Ameritrade, Inc. former
Mar 8, 2016 to Jan 11, 2021 · Schaumburg, Il
Pnc Wealth Management BD affiliated
Apr 23, 2015 to Jan 6, 2016 · Huntley, Il
Independent Financial Group, LLC BD affiliated
Jan 6, 2015 to Mar 10, 2015 · Sleepy Hollow, Il

Moves

a registration end followed by a registration begin elsewhere

Edge Financial Advisors, LLC to Fifth Third Securities, Inc.
left Sep 2, 2022, registered Aug 8, 2022 (-25 days) · RIA to affiliated broker-dealer or bank
Td Ameritrade, Inc. to Edge Financial Advisors, LLC
left Jan 11, 2021, registered May 4, 2021 (113 days) · Other
Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.
left Dec 31, 2020, registered Mar 8, 2016 (-1759 days) · corporate re-registration, not a move
Pnc Wealth Management to Td Ameritrade Investment Management, LLC
left Jan 6, 2016, registered Mar 8, 2016 (62 days) · Other
Independent Financial Group, LLC to Pnc Wealth Management
left Mar 10, 2015, registered Apr 23, 2015 (44 days) · Other

Signals

Scott Farwell left Edge Financial Advisors, Llc for Fifth Third Securities, Inc. (registered 2022-08-08)
Sep 2, 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: 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