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

Richard Louis Trotta

Wells Fargo AdvisorswirehouseRadnor, Pa dual registrantIAPD 5302278

Feed of 09/15/2026

Also filed as Richard Trotta

At current firm

2 y

since Apr 19, 2024

In the industry

19 y

since May 31, 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

Wells Fargo Advisors wirehouse current
since Apr 19, 2024 · Radnor, Pa
Citizens Securities, Inc. BD affiliated
May 20, 2022 to Apr 19, 2024 · Forty Fort, Pa
Santander Securities BD affiliated
May 31, 2016 to Apr 8, 2022 · Easton, Pa
Stonex Advisors Inc. BD affiliated
Jan 30, 2015 to Jun 7, 2016 · Birmingham, Al
Sterne Agee Investment Advisor Services, Inc. former
Jan 6, 2015 to Jan 30, 2015 · Youngstown, Oh
Keystone Capital Corporation former
May 9, 2013 to Jan 9, 2015 · Orefield, Pa
Liberty Asset Management independent RIA
Nov 20, 2012 to Aug 6, 2013 · Allentown, Pa
Wells Fargo Advisors wirehouse
Nov 15, 2010 to Oct 16, 2012 · Allentown, Pa
Raymond James Financial Services Advisors, Inc BD affiliated
Jan 2, 2009 to Oct 20, 2009 · Saint Petersburg, Fl
Raymond James Financial Services, Inc. unclassified
Dec 23, 2008 to Jan 2, 2009 · Emmaus, Pa
Wells Fargo Advisors wirehouse
Jul 14, 2008 to Dec 17, 2008 · Northampton, Pa

Moves

a registration end followed by a registration begin elsewhere

Citizens Securities, Inc. to Wells Fargo Advisors
left Apr 19, 2024, registered Apr 19, 2024 (0 days) · Affiliated broker-dealer or bank to wirehouse
Santander Securities to Citizens Securities, Inc.
left Apr 8, 2022, registered May 20, 2022 (42 days) · Affiliated broker-dealer or bank to another · moved with a team
Stonex Advisors Inc. to Santander Securities
left Jun 7, 2016, registered May 31, 2016 (-7 days) · Other
Sterne Agee Investment Advisor Services, Inc. to Stonex Advisors Inc.
left Jan 30, 2015, registered Jan 30, 2015 (0 days) · corporate re-registration, not a move
Keystone Capital Corporation to Sterne Agee Investment Advisor Services, Inc.
left Jan 9, 2015, registered Jan 6, 2015 (-3 days) · Other
Liberty Asset Management to Keystone Capital Corporation
left Aug 6, 2013, registered May 9, 2013 (-89 days) · Other
Wells Fargo Advisors to Liberty Asset Management
left Oct 16, 2012, registered Nov 20, 2012 (35 days) · Other
Raymond James Financial Services Advisors, Inc to Wells Fargo Advisors
left Oct 20, 2009, registered Nov 15, 2010 (391 days) · Other
Raymond James Financial Services, Inc. to Raymond James Financial Services Advisors, Inc
left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
Wells Fargo Advisors to Raymond James Financial Services, Inc.
left Dec 17, 2008, registered Dec 23, 2008 (6 days) · Other

Signals

Richard Louis Trotta left Citizens Securities, Inc. for Wells Fargo Advisors (registered 2024-04-19)
Apr 19, 2024 · Advisor changed firm · fact
Richard Louis Trotta left Santander Securities for Citizens Securities, Inc. (registered 2022-05-20)
Apr 8, 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: Wirehousederived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address