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
Samuel F Zabkowicz
Feed of 09/14/2026
Also filed as Samuel Frank Zabkowicz
At current firm
1 y
since Nov 14, 2024
In the industry
11 y
since Jan 1, 2015 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Enterprise, LLC BD affiliated currentsince Nov 14, 2024 · Hales Corners, Wi
- Pruco Securities, LLC no RAUMJan 18, 2023 to Nov 14, 2024 · Wauwatosa, Wi
- Drake & Associates, LLC independent RIAJun 22, 2021 to Jan 12, 2023 · Waukesha, Wi
- U.S. Bancorp Investments, Inc. formerJan 15, 2019 to May 18, 2021 · Cedarburg, Wi
- Edward Jones national BDAug 20, 2018 to Sep 27, 2018 · Edina, Mn
Moves
a registration end followed by a registration begin elsewhere
- Pruco Securities, LLC to LPL Enterprise, LLCleft Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- Drake & Associates, LLC to Pruco Securities, LLCleft Jan 12, 2023, registered Jan 18, 2023 (6 days) · RIA to affiliated broker-dealer or bank
- U.S. Bancorp Investments, Inc. to Drake & Associates, LLCleft May 18, 2021, registered Jun 22, 2021 (35 days) · Affiliated broker-dealer or bank to independent RIA
- Edward Jones to U.S. Bancorp Investments, Inc.left Sep 27, 2018, registered Jan 15, 2019 (110 days) · Affiliated broker-dealer or bank to another
Signals
- Samuel F Zabkowicz left Drake & Associates, Llc for Pruco Securities, Llc (registered 2023-01-18)Jan 12, 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
- 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