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
Samuel Pemberton
Certified Financial Planner
Feed of 09/16/2026
Also filed as Samuel H Pemberton
At current firm
0 y
since Sep 15, 2026
In the industry
16 y
since Feb 1, 2010 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Td Private Client Wealth LLC BD affiliated currentsince Sep 15, 2026 · Bernardsville, Nj
- LPL Financial LLC BD affiliatedAug 19, 2025 to Oct 9, 2025 · Mount Laurel, Nj
- Vanguard Advisers, Inc. BD affiliatedMay 2, 2017 to Mar 12, 2025 · Malvern, Pa
- Apexium Financial LP formerMay 19, 2016 to Sep 1, 2016 · Philadelphia, Pa
- Citrin Cooperman Wealth Management, LP formerMay 6, 2011 to Sep 1, 2016 · New York, Ny
- MML Investors Services, LLC BD affiliatedMar 16, 2010 to Mar 1, 2011 · Radnor, Pa
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to Td Private Client Wealth LLCleft Oct 9, 2025, registered Sep 15, 2026 (341 days) · Affiliated broker-dealer or bank to another
- Vanguard Advisers, Inc. to LPL Financial LLCleft Mar 12, 2025, registered Aug 19, 2025 (160 days) · Affiliated broker-dealer or bank to another
- Citrin Cooperman Wealth Management, LP to Apexium Financial LPleft Sep 1, 2016, registered May 19, 2016 (-105 days) · Other
- Apexium Financial LP to Vanguard Advisers, Inc.left Sep 1, 2016, registered May 2, 2017 (243 days) · Other
- MML Investors Services, LLC to Citrin Cooperman Wealth Management, LPleft Mar 1, 2011, registered May 6, 2011 (66 days) · Other
Signals
- Samuel Pemberton registered as an investment adviser representative at Td Private Client Wealth LlcSep 15, 2026 · Advisor registered · 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address