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
Noel Palackel Thomas
Feed of 09/15/2026
Also filed as Noel Thomas
At current firm
0 y
since Aug 26, 2026
In the industry
11 y
since Apr 14, 2015 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- Advice And Planning Services BD affiliated currentsince Aug 26, 2026 · Houston, Tx
- Valic Financial Advisors, Inc. BD affiliatedNov 26, 2024 to Jul 23, 2026 · Houston, Tx
- MML Investors Services, LLC BD affiliatedMay 11, 2022 to Jun 14, 2024 · Oro Valley, Az
- Fidelity Personal And Workplace Advisors formerApr 7, 2021 to May 5, 2022 · Tucson, Az
- Td Ameritrade Investment Management, LLC formerJan 17, 2020 to Dec 31, 2020 · Tucson, Az
- Td Ameritrade, Inc. formerJan 17, 2020 to Jan 11, 2021 · Tucson, Az
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMay 8, 2018 to Jan 2, 2020 · Tucson, Az
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOct 26, 2015 to Oct 17, 2017 · Union City, Ca
- Equitable Advisors, LLC national BDApr 29, 2015 to Aug 17, 2015 · Mountain House, Ca
Moves
a registration end followed by a registration begin elsewhere
- Valic Financial Advisors, Inc. to Advice And Planning Servicesleft Jul 23, 2026, registered Aug 26, 2026 (34 days) · Affiliated broker-dealer or bank to another
- MML Investors Services, LLC to Valic Financial Advisors, Inc.left Jun 14, 2024, registered Nov 26, 2024 (165 days) · Affiliated broker-dealer or bank to another
- Fidelity Personal And Workplace Advisors to MML Investors Services, LLCleft May 5, 2022, registered May 11, 2022 (6 days) · Affiliated broker-dealer or bank to another
- Td Ameritrade, Inc. to Fidelity Personal And Workplace Advisorsleft Jan 11, 2021, registered Apr 7, 2021 (86 days) · Other
- Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.left Dec 31, 2020, registered Jan 17, 2020 (-349 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Td Ameritrade Investment Management, LLCleft Jan 2, 2020, registered Jan 17, 2020 (15 days) · Wirehouse to independent RIA
- Equitable Advisors, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Aug 17, 2015, registered Oct 26, 2015 (70 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- Noel Palackel Thomas left Valic Financial Advisors, Inc. for Advice And Planning Services (registered 2026-08-26)Jul 23, 2026 · Advisor changed firm · fact
- Noel Palackel Thomas left Mml Investors Services, Llc for Valic Financial Advisors, Inc. (registered 2024-11-26)Jun 14, 2024 · Advisor changed firm · fact
- Noel Palackel Thomas left Fidelity Personal And Workplace Advisors for Mml Investors Services, Llc (registered 2022-05-11)May 5, 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address