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

Tyler Dean Sass

LPL Financial LLCBD affiliatedGermantown, Widual registrantIAPD 6428528

Chartered Financial Consultant

Feed of 09/14/2026

At current firm

0 y

since Jul 27, 2026

In the industry

10 y

since Jun 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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 Financial LLC BD affiliated current
since Jul 27, 2026 · Germantown, Wi
Associated Investment Services, Inc. independent RIA
May 23, 2025 to Aug 7, 2026 · Watertown, Wi
LPL Financial LLC BD affiliated
Nov 16, 2023 to May 21, 2025 · San Diego, Ca
W&S Brokerage Services, Inc. BD affiliated
Jul 28, 2022 to Nov 21, 2023 · Eden Prairie, Mn
Harbour Investments, Inc. independent RIA
Jun 1, 2021 to Jul 7, 2022 · Menomonee Falls, Wi
Associated Investment Services, Inc. independent RIA
Feb 21, 2018 to Jun 2, 2021 · Port Washington, Wi

Moves

a registration end followed by a registration begin elsewhere

Associated Investment Services, Inc. to LPL Financial LLC
left Aug 7, 2026, registered Jul 27, 2026 (-11 days) · RIA to affiliated broker-dealer or bank
LPL Financial LLC to Associated Investment Services, Inc.
left May 21, 2025, registered May 23, 2025 (2 days) · Affiliated broker-dealer or bank to independent RIA
W&S Brokerage Services, Inc. to LPL Financial LLC
left Nov 21, 2023, registered Nov 16, 2023 (-5 days) · Affiliated broker-dealer or bank to another
Harbour Investments, Inc. to W&S Brokerage Services, Inc.
left Jul 7, 2022, registered Jul 28, 2022 (21 days) · RIA to affiliated broker-dealer or bank
Associated Investment Services, Inc. to Harbour Investments, Inc.
left Jun 2, 2021, registered Jun 1, 2021 (-1 days) · RIA to RIA

Signals

Tyler Dean Sass left Associated Investment Services, Inc. for Lpl Financial Llc (registered 2026-07-27)
Aug 7, 2026 · Advisor changed firm · fact
Tyler Dean Sass left Lpl Financial Llc for Associated Investment Services, Inc. (registered 2025-05-23)
May 21, 2025 · Advisor changed firm · fact
Tyler Dean Sass left W&S Brokerage Services, Inc. for Lpl Financial Llc (registered 2023-11-16)
Nov 21, 2023 · Advisor changed firm · fact
Tyler Dean Sass left Harbour Investments, Inc. for W&S Brokerage Services, Inc. (registered 2022-07-28)
Jul 7, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address