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
Penny Lee Di Giovanna
Certified Financial Planner
Feed of 09/14/2026
Also filed as Penny Lee Arena
At current firm
2 y
since Jan 10, 2024
In the industry
11 y
since Oct 14, 2014 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Financial Planning By Design state registered currentsince Jan 10, 2024 · Indian Harbour Beach, Fl
- J. W. Cole Advisors, Inc. BD affiliatedJun 23, 2022 to Dec 21, 2023 · Hudson, Fl
- Semmax Financial Advisors, Inc. independent RIADec 2, 2021 to Jun 13, 2022 · Winston-Salem, Nc
- J. W. Cole Advisors, Inc. BD affiliatedJul 12, 2021 to Nov 30, 2021 · Tampa, Fl
- Fidelity Personal And Workplace Advisors formerJun 29, 2020 to Jun 21, 2021 · Sarasota, Fl
- Raymond James & Associates, Inc. national BDJul 16, 2018 to May 27, 2020 · Sarasota, Fl
- Tsa Management Inc independent RIAJul 21, 2017 to Jul 9, 2018 · Sarasota, Fl
Moves
a registration end followed by a registration begin elsewhere
- J. W. Cole Advisors, Inc. to Financial Planning By Designleft Dec 21, 2023, registered Jan 10, 2024 (20 days) · Affiliated broker-dealer or bank to a state-registered adviser
- Semmax Financial Advisors, Inc. to J. W. Cole Advisors, Inc.left Jun 13, 2022, registered Jun 23, 2022 (10 days) · RIA to RIA
- J. W. Cole Advisors, Inc. to Semmax Financial Advisors, Inc.left Nov 30, 2021, registered Dec 2, 2021 (2 days) · RIA to RIA
- Fidelity Personal And Workplace Advisors to J. W. Cole Advisors, Inc.left Jun 21, 2021, registered Jul 12, 2021 (21 days) · Affiliated broker-dealer or bank to independent RIA
- Raymond James & Associates, Inc. to Fidelity Personal And Workplace Advisorsleft May 27, 2020, registered Jun 29, 2020 (33 days) · Affiliated broker-dealer or bank to another
- Tsa Management Inc to Raymond James & Associates, Inc.left Jul 9, 2018, registered Jul 16, 2018 (7 days) · RIA to affiliated broker-dealer or bank
Signals
- Penny Lee Di Giovanna left J. W. Cole Advisors, Inc. for Financial Planning By Design (registered 2024-01-10)Dec 21, 2023 · Advisor changed firm · fact
- Penny Lee Di Giovanna left Semmax Financial Advisors, Inc. for J. W. Cole Advisors, Inc. (registered 2022-06-23)Jun 13, 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
- STATE REGISTEREDderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address