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

Phillip Nuttall

LPL Financial LLCBD affiliatedSan Diego, Cadual registrantIAPD 5807229

Certified Financial Planner

Feed of 09/14/2026

Also filed as Phillip Stuart Nuttall

At current firm

1 y

since Sep 12, 2025

In the industry

15 y

since Sep 28, 2010 (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 Sep 12, 2025 · San Diego, Ca
Stratos Wealth Partners, Ltd BD affiliated
Aug 6, 2023 to Sep 10, 2025 · San Diego, Ca
Stratos Wealth Advisors LLC independent RIA
Aug 6, 2023 to Sep 10, 2025 · San Diego, Ca
LPL Financial LLC BD affiliated
Jan 12, 2022 to Aug 10, 2023 · San Diego, Ca
Capital One Investing, Inc. former
Jan 8, 2020 to Jan 3, 2022 · Mclean, Va
Hsbc Securities (USA) Inc. BD affiliated
Apr 13, 2016 to Nov 20, 2019 · Manhasset, Ny

Moves

a registration end followed by a registration begin elsewhere

Stratos Wealth Partners, Ltd to Stratos Wealth Advisors LLC
left Sep 10, 2025, registered Aug 6, 2023 (-766 days) · Affiliated broker-dealer or bank to independent RIA
Stratos Wealth Advisors LLC to LPL Financial LLC
left Sep 10, 2025, registered Sep 12, 2025 (2 days) · RIA to affiliated broker-dealer or bank
LPL Financial LLC to Stratos Wealth Partners, Ltd
left Aug 10, 2023, registered Aug 6, 2023 (-4 days) · Affiliated broker-dealer or bank to another
Capital One Investing, Inc. to LPL Financial LLC
left Jan 3, 2022, registered Jan 12, 2022 (9 days) · RIA to affiliated broker-dealer or bank
Hsbc Securities (USA) Inc. to Capital One Investing, Inc.
left Nov 20, 2019, registered Jan 8, 2020 (49 days) · Affiliated broker-dealer or bank to independent RIA

Signals

Phillip Nuttall left Stratos Wealth Partners, Ltd for Stratos Wealth Advisors Llc (registered 2023-08-06)
Sep 10, 2025 · Advisor changed firm · fact
Phillip Nuttall left Stratos Wealth Advisors Llc for Lpl Financial Llc (registered 2025-09-12)
Sep 10, 2025 · Advisor changed firm · fact
Phillip Nuttall left Lpl Financial Llc for Stratos Wealth Partners, Ltd (registered 2023-08-06)
Aug 10, 2023 · Advisor changed firm · fact
Phillip Nuttall left Capital One Investing, Inc. for Lpl Financial Llc (registered 2022-01-12)
Jan 3, 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