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

Fred Debow Rice

LPL Enterprise, LLCBD affiliatedSan Jose, Cadual registrantIAPD 6403739

Feed of 09/14/2026

Also filed as Fred Debow Rice III

At current firm

1 y

since Mar 26, 2025

In the industry

12 y

since Sep 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

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 26, 2025 · San Jose, Ca
Stratos Wealth Partners, Ltd BD affiliated
Feb 14, 2024 to Aug 19, 2024 · Redwood City, Ca
Osaic Wealth, Inc. BD affiliated
Jun 24, 2022 to Feb 15, 2024 · Redwood City, Ca
E*Trade Capital Management, LLC former
Jan 5, 2022 to Jun 13, 2022 · Cupertino, Ca
J.P. Morgan Securities LLC wirehouse
Oct 2, 2020 to Dec 11, 2021 · San Jose, Ca
Charles Schwab & Co., Inc. national BD
Nov 17, 2016 to Jun 16, 2020 · Indianapolis, In

Moves

a registration end followed by a registration begin elsewhere

Stratos Wealth Partners, Ltd to LPL Enterprise, LLC
left Aug 19, 2024, registered Mar 26, 2025 (219 days) · Affiliated broker-dealer or bank to a newly registered adviser
Osaic Wealth, Inc. to Stratos Wealth Partners, Ltd
left Feb 15, 2024, registered Feb 14, 2024 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
E*Trade Capital Management, LLC to Osaic Wealth, Inc.
left Jun 13, 2022, registered Jun 24, 2022 (11 days) · RIA to affiliated broker-dealer or bank
J.P. Morgan Securities LLC to E*Trade Capital Management, LLC
left Dec 11, 2021, registered Jan 5, 2022 (25 days) · Wirehouse to independent RIA
Charles Schwab & Co., Inc. to J.P. Morgan Securities LLC
left Jun 16, 2020, registered Oct 2, 2020 (108 days) · Affiliated broker-dealer or bank to wirehouse

Signals

Fred Debow Rice left Stratos Wealth Partners, Ltd for Lpl Enterprise, Llc (registered 2025-03-26)
Aug 19, 2024 · Advisor changed firm · fact
Fred Debow Rice left Osaic Wealth, Inc. for Stratos Wealth Partners, Ltd (registered 2024-02-14)
Feb 15, 2024 · Advisor changed firm · fact
Fred Debow Rice left E*Trade Capital Management, Llc for Osaic Wealth, Inc. (registered 2022-06-24)
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: Broker-dealer affiliated wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address