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
Shane David Phillips
Feed of 09/14/2026
Also filed as Shane David Phillips
At current firm
11 y
since Mar 30, 2015
In the industry
16 y
since Feb 5, 2010 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
10
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- Provenance Wealth Advisors independent RIA currentsince Mar 30, 2015 · Fort Lauderdale, Fl
- Raymond James Financial Services Advisors, Inc BD affiliatedFeb 4, 2015 to Aug 25, 2023 · Miami, Fl
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseDec 6, 2013 to Dec 16, 2014 · Miami, Fl
- Robert W. Baird & Co. Incorporated mixed wealthSep 21, 2011 to Aug 22, 2013 · Milwaukee, Wi
Moves
a registration end followed by a registration begin elsewhere
- Raymond James Financial Services Advisors, Inc to Provenance Wealth Advisorsleft Aug 25, 2023, registered Mar 30, 2015 (-3070 days) · Other · moved with a team
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Raymond James Financial Services Advisors, Incleft Dec 16, 2014, registered Feb 4, 2015 (50 days) · Other
- Robert W. Baird & Co. Incorporated to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Aug 22, 2013, registered Dec 6, 2013 (106 days) · Other
Signals
- Shane David Phillips left Raymond James Financial Services Advisors, Inc for Provenance Wealth Advisors (registered 2015-03-30)Aug 25, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address