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

Kristopher Sean Phillips

LPL Enterprise, LLCBD affiliatedSarasota, Fldual registrantIAPD 6065455

Feed of 09/14/2026

Also filed as Kristopher Phillips

At current firm

0 y

since Mar 12, 2026

In the industry

14 y

since May 1, 2012 (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 Mar 12, 2026 · Sarasota, Fl
Cetera Investment Advisers LLC BD affiliated
Apr 7, 2023 to Mar 11, 2026 · Sarasota, Fl
Cetera Advisor Networks LLC former
Mar 24, 2023 to Jun 29, 2023 · Sarasota, Fl
Moors & Cabot, Inc BD affiliated
Jan 12, 2021 to Mar 24, 2023 · Sarasota, Fl
Pruco Securities, LLC no RAUM
Apr 2, 2020 to Jan 11, 2021 · Sarasota, Fl
Pruco Securities, LLC no RAUM
Jul 23, 2013 to Feb 20, 2020 · Sarasota, Fl

Moves

a registration end followed by a registration begin elsewhere

Cetera Investment Advisers LLC to LPL Enterprise, LLC
left Mar 11, 2026, registered Mar 12, 2026 (1 days) · Affiliated broker-dealer or bank to another
Cetera Advisor Networks LLC to Cetera Investment Advisers LLC
left Jun 29, 2023, registered Apr 7, 2023 (-83 days) · corporate re-registration, not a move
Moors & Cabot, Inc to Cetera Advisor Networks LLC
left Mar 24, 2023, registered Mar 24, 2023 (0 days) · Affiliated broker-dealer or bank to another
Pruco Securities, LLC to Moors & Cabot, Inc
left Jan 11, 2021, registered Jan 12, 2021 (1 days) · Affiliated broker-dealer or bank to another

Signals

Kristopher Sean Phillips left Cetera Investment Advisers Llc for Lpl Enterprise, Llc (registered 2026-03-12)
Mar 11, 2026 · Advisor changed firm · fact
Kristopher Sean Phillips left Moors & Cabot, Inc for Cetera Advisor Networks Llc (registered 2023-03-24)
Mar 24, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address