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

Neal Siena

Raymond James Financial Services Advisors, IncBD affiliatedValhalla, Nydual registrantIAPD 5751077

Feed of 09/14/2026

At current firm

1 y

since May 1, 2025

In the industry

16 y

since Mar 4, 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

Raymond James Financial Services Advisors, Inc BD affiliated current
since May 1, 2025 · Valhalla, Ny
Ameriprise Financial Services, LLC national BD
Sep 28, 2020 to May 20, 2025 · Valhalla, Ny
Mdt Advisers, A Division Of Federated Mdta LLC asset manager
Oct 20, 2014 to Oct 13, 2020 · Boston, Ma
Federated Investment Counseling institutional
Oct 7, 2014 to Oct 13, 2020 · Pittsburgh, Pa
Federated Securities Corp. no RAUM
Oct 7, 2014 to Oct 13, 2020 · Briar Cliff Manor, Ny
Bny Mellon Securities Corporation other
May 15, 2013 to Sep 5, 2014 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

Ameriprise Financial Services, LLC to Raymond James Financial Services Advisors, Inc
left May 20, 2025, registered May 1, 2025 (-19 days) · Affiliated broker-dealer or bank to another · moved with a team
Federated Investment Counseling to Mdt Advisers, A Division Of Federated Mdta LLC
left Oct 13, 2020, registered Oct 20, 2014 (-2185 days) · channel change inside one enterprise, not a move
Mdt Advisers, A Division Of Federated Mdta LLC to Ameriprise Financial Services, LLC
left Oct 13, 2020, registered Sep 28, 2020 (-15 days) · Other
Federated Securities Corp. to Federated Investment Counseling
left Oct 13, 2020, registered Oct 7, 2014 (-2198 days) · channel change inside one enterprise, not a move
Bny Mellon Securities Corporation to Federated Securities Corp.
left Sep 5, 2014, registered Oct 7, 2014 (32 days) · Other

Signals

Neal Siena left Ameriprise Financial Services, Llc for Raymond James Financial Services Advisors, Inc (registered 2025-05-01)
May 20, 2025 · 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address