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

Sumit Sharma

LPL Financial LLCBD affiliatedMission Viejo, Cadual registrantIAPD 5385957

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Feb 20, 2024

In the industry

17 y

since Feb 26, 2009 (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

LPL Financial LLC BD affiliated current
since Feb 20, 2024 · Mission Viejo, Ca
United Planners' Financial Services Of America A Limited Partner independent RIA
Jul 5, 2022 to Mar 14, 2024 · Scottsdale, Az
Falcon Wealth Planning, Inc. independent RIA
May 18, 2022 to Jun 15, 2022 · Ontario, Ca
Morgan Stanley wirehouse
Feb 3, 2021 to Sep 29, 2021 · Newport Beach, Ca
Citigroup Global Markets Inc. BD affiliated
Nov 26, 2018 to Oct 30, 2020 · North Hills, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Oct 9, 2018 to Nov 15, 2018 · Mission Viejo, Ca
Equitable Advisors, LLC national BD
Sep 11, 2014 to Oct 15, 2018 · Woodland Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

United Planners' Financial Services Of America A Limited Partner to LPL Financial LLC
left Mar 14, 2024, registered Feb 20, 2024 (-23 days) · RIA to affiliated broker-dealer or bank
Falcon Wealth Planning, Inc. to United Planners' Financial Services Of America A Limited Partner
left Jun 15, 2022, registered Jul 5, 2022 (20 days) · RIA to RIA
Morgan Stanley to Falcon Wealth Planning, Inc.
left Sep 29, 2021, registered May 18, 2022 (231 days) · Wirehouse to independent RIA
Citigroup Global Markets Inc. to Morgan Stanley
left Oct 30, 2020, registered Feb 3, 2021 (96 days) · Affiliated broker-dealer or bank to wirehouse
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Citigroup Global Markets Inc.
left Nov 15, 2018, registered Nov 26, 2018 (11 days) · Wirehouse to affiliated broker-dealer or bank
Equitable Advisors, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Oct 15, 2018, registered Oct 9, 2018 (-6 days) · Affiliated broker-dealer or bank to wirehouse

Signals

Sumit Sharma left United Planners' Financial Services Of America A Limited Partner for Lpl Financial Llc (registered 2024-02-20)
Mar 14, 2024 · Advisor changed firm · fact
Sumit Sharma left Falcon Wealth Planning, Inc. for United Planners' Financial Services Of America A Limited Partner (registered 2022-07-05)
Jun 15, 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address