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.
Feed of 09/15/2026
Also filed as Mark Sumner
At current firm
5 y
since Sep 21, 2020
In the industry
17 y
since Feb 13, 2009 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Spc BD affiliated currentsince Sep 21, 2020 · Ann Arbor, Mi
- Ssn Advisory, Inc. formerMar 4, 2013 to Sep 14, 2020 · Mooresville, Nc
- Securities America Advisors, Inc. formerSep 14, 2011 to Feb 22, 2013 · Mooresville, Nc
- Ameritas Advisory Services formerSep 27, 2010 to Sep 14, 2011 · Tuckasegee, Nc
- Avantax Advisory Services formerApr 6, 2010 to Sep 27, 2010 · Mooresville, Nc
- Allegiant Financial Advisors, LLC state registeredFeb 17, 2009 to Jan 27, 2010 · Miami Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- Ssn Advisory, Inc. to Spcleft Sep 14, 2020, registered Sep 21, 2020 (7 days) · Affiliated broker-dealer or bank to another
- Securities America Advisors, Inc. to Ssn Advisory, Inc.left Feb 22, 2013, registered Mar 4, 2013 (10 days) · Other
- Ameritas Advisory Services to Securities America Advisors, Inc.left Sep 14, 2011, registered Sep 14, 2011 (0 days) · Other
- Avantax Advisory Services to Ameritas Advisory Servicesleft Sep 27, 2010, registered Sep 27, 2010 (0 days) · Other
- Allegiant Financial Advisors, LLC to Avantax Advisory Servicesleft Jan 27, 2010, registered Apr 6, 2010 (69 days) · Other
Signals
No dated event on this person.
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