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

Samantha N Petter

LPL Financial LLCBD affiliatedLouisville, Kydual registrantIAPD 7298910

Feed of 09/14/2026

Also filed as Samantha Nicole Petter

At current firm

0 y

since Jul 16, 2026

In the industry

13 y

since Aug 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

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 16, 2026 · Louisville, Ky
Truist Advisory Services, Inc. BD affiliated
Dec 5, 2024 to Jun 12, 2026 · Louisville, Ky
Foundations Investment Advisors LLC independent RIA
Mar 22, 2024 to Oct 4, 2024 · Phoenix, Az
Fifth Third Securities, Inc. BD affiliated
Jul 6, 2021 to Feb 16, 2024 · Louisville, Ky

Moves

a registration end followed by a registration begin elsewhere

Truist Advisory Services, Inc. to LPL Financial LLC
left Jun 12, 2026, registered Jul 16, 2026 (34 days) · Affiliated broker-dealer or bank to another
Foundations Investment Advisors LLC to Truist Advisory Services, Inc.
left Oct 4, 2024, registered Dec 5, 2024 (62 days) · RIA to affiliated broker-dealer or bank
Fifth Third Securities, Inc. to Foundations Investment Advisors LLC
left Feb 16, 2024, registered Mar 22, 2024 (35 days) · Affiliated broker-dealer or bank to independent RIA

Signals

Samantha N Petter left Truist Advisory Services, Inc. for Lpl Financial Llc (registered 2026-07-16)
Jun 12, 2026 · Advisor changed firm · fact
Samantha N Petter left Foundations Investment Advisors Llc for Truist Advisory Services, Inc. (registered 2024-12-05)
Oct 4, 2024 · Advisor changed firm · fact
Samantha N Petter left Fifth Third Securities, Inc. for Foundations Investment Advisors Llc (registered 2024-03-22)
Feb 16, 2024 · 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address