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

Neil Schraffenberger

Strategic Advisers LLCnational BDBroomfield, Co dual registrantIAPD 6190504

Certified Financial Planner

Feed of 09/14/2026

Also filed as Neil David Schraffenberger

At current firm

1 y

since Mar 31, 2025

In the industry

12 y

since May 16, 2014 (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

Strategic Advisers LLC national BD current
since Mar 31, 2025 · Lakewood, Co
Fidelity Personal And Workplace Advisors former
Nov 22, 2024 to Mar 31, 2025 · Broomfield, Co
Charles Schwab & Co., Inc. national BD
Apr 21, 2023 to Oct 15, 2024 · Denver, Co
Syntegra Private Wealth Group LLC independent RIA
Mar 1, 2023 to Apr 21, 2023 · Chesterfield, Mo
Securities America Advisors, Inc. former
Jun 6, 2019 to Apr 10, 2023 · Denver, Co
Bancwest Investment Services, Inc. (Bwis) former
Oct 19, 2018 to Oct 25, 2018 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

Fidelity Personal And Workplace Advisors to Strategic Advisers LLC
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
Charles Schwab & Co., Inc. to Fidelity Personal And Workplace Advisors
left Oct 15, 2024, registered Nov 22, 2024 (38 days) · Affiliated broker-dealer or bank to another
Syntegra Private Wealth Group LLC to Charles Schwab & Co., Inc.
left Apr 21, 2023, registered Apr 21, 2023 (0 days) · RIA to affiliated broker-dealer or bank
Securities America Advisors, Inc. to Syntegra Private Wealth Group LLC
left Apr 10, 2023, registered Mar 1, 2023 (-40 days) · Affiliated broker-dealer or bank to independent RIA
Bancwest Investment Services, Inc. (Bwis) to Securities America Advisors, Inc.
left Oct 25, 2018, registered Jun 6, 2019 (224 days) · Affiliated broker-dealer or bank to another

Signals

Neil Schraffenberger left Charles Schwab & Co., Inc. for Fidelity Personal And Workplace Advisors (registered 2024-11-22)
Oct 15, 2024 · Advisor changed firm · fact
Neil Schraffenberger left Syntegra Private Wealth Group Llc for Charles Schwab & Co., Inc. (registered 2023-04-21)
Apr 21, 2023 · Advisor changed firm · fact
Neil Schraffenberger left Securities America Advisors, Inc. for Syntegra Private Wealth Group Llc (registered 2023-03-01)
Apr 10, 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: National broker-dealer RIAderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address