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

Frank Joseph Diliberto

LPL Enterprise, LLCBD affiliatedDowners Grove, Ildual registrantIAPD 5648180

Feed of 09/14/2026

At current firm

1 y

since Nov 14, 2024

In the industry

15 y

since Oct 8, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Enterprise, LLC BD affiliated current
since Nov 14, 2024 · Downers Grove, Il
Pruco Securities, LLC no RAUM
Dec 1, 2023 to Nov 14, 2024 · Downers Grove, Il
Edward Jones national BD
Jun 17, 2022 to Oct 6, 2023 · Palos Hills, Il
Eagle Strategies LLC BD affiliated
Aug 5, 2021 to Jun 21, 2022 · Downers Grove, Il
Iht Wealth Management LLC BD affiliated
May 9, 2019 to Aug 28, 2019 · Chicago, Il
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Sep 9, 2016 to Jul 20, 2017 · Orland Park, Il

Moves

a registration end followed by a registration begin elsewhere

Pruco Securities, LLC to LPL Enterprise, LLC
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
Edward Jones to Pruco Securities, LLC
left Oct 6, 2023, registered Dec 1, 2023 (56 days) · Affiliated broker-dealer or bank to another
Eagle Strategies LLC to Edward Jones
left Jun 21, 2022, registered Jun 17, 2022 (-4 days) · Affiliated broker-dealer or bank to another
Iht Wealth Management LLC to Eagle Strategies LLC
left Aug 28, 2019, registered Aug 5, 2021 (708 days) · RIA to affiliated broker-dealer or bank
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Iht Wealth Management LLC
left Jul 20, 2017, registered May 9, 2019 (658 days) · Wirehouse to independent RIA

Signals

Frank Joseph Diliberto left Edward Jones for Pruco Securities, Llc (registered 2023-12-01)
Oct 6, 2023 · Advisor changed firm · fact
Frank Joseph Diliberto left Eagle Strategies Llc for Edward Jones (registered 2022-06-17)
Jun 21, 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address