DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

RILEY CHARLES MORING

Advisor at OSAIC WEALTH, INC.

SPOKANE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0c18ff03-4710-367e-d6a2-b4bbe3229cc0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 26, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OSAIC WEALTH, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 23, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Jan 23, 2009
First registration: Jan 26, 2009
Dual registered: yes, broker-dealer
Other names: RILEY C MORING|RYLAND C MORING|RILEY C MORING|RYLAND C MORING|RILEY MORING
IAPD individual key: 5557869

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OSAIC WEALTH, INC.	Bd affiliated wealth	Jan 10, 2023	n/a	yes	SPOKANE, WA\|SPOKANE, WA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	May 20, 2016	Jan 30, 2023	no	WOODINVILLE, WA\|BELLEVUE, WA\|SEATTLE, WA\|EVERETT, WA\|KENT, WA\|TACOMA, WA\|SEATTLE, WA\|LYNNWOOD, WA\|KIRKLAND, WA\|SEATTLE, WA\|BOTHELL, WA\|SEATTLE, WA\|PUYALLUP, WA\|WOODINVILLE, WA\|EVERETT, WA\|ISSAQUAH, WA\|BELLEVUE, WA\|MERCER ISLAND, WA\|FEDERAL WAY, WA\|BLAINE, WA\|RENTON, WA\|SEATTLE, WA\|REDMOND, WA\|EVERETT, WA\|ARLINGTON, WA\|MT VERNON, WA\|SEATTLE, WA\|POINT ROBERTS, WA\|MILL CREEK, WA\|EDMONDS, WA\|BURLINGTON, WA\|SOUTH SEATTLE, WA\|ANACORTES, WA\|SEDRO-WOOLLEY, WA\|LYNDEN, WA\|BELLINGHAM, WA\|BELLEVUE, WA\|BELLEVUE, WA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Nov 30, 2012	May 23, 2016	no	NEWCASTLE, WA\|SEATTLE, WA\|SAMMAMISH, WA\|ISSAQUAH, WA\|SAMMAMISH, WA\|SEATTLE, WA\|ISSAQUAH, WA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Dec 10, 2012	no	MERCER ISLAND, WA\|SEATTLE, WA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 8, 2010	Oct 1, 2012	no	SEATTLE, WA\|UNIVERSITY PLACE, WA\|MERCER ISLAND, WA\|SEATTLE, WA\|SEATTLE, WA\|TACOMA, WA\|UNIVERSITY PLACE, WA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 26, 2009	May 28, 2010	no	SEATTLE, WA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	OSAIC WEALTH, INC.	Jan 30, 2023	Jan 10, 2023	-20	Firm change	RIA to ibd
WELLS FARGO ADVISORS	LPL FINANCIAL LLC	May 23, 2016	May 20, 2016	-3	Firm change	Other
J.P. MORGAN SECURITIES LLC	WELLS FARGO ADVISORS	Dec 10, 2012	Nov 30, 2012	-10	Firm change	Wirehouse to wirehouse
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
WELLS FARGO ADVISORS	CHASE INVESTMENT SERVICES CORP.	May 28, 2010	Jul 8, 2010	41	Firm change	Other

Relationships

Registered with (5)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Jan 10, 2023 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 20, 2016 to Jan 30, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Nov 30, 2012 to May 23, 2016factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Dec 10, 2012factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jul 8, 2010 to Oct 1, 2012factForm ADV

Dated events

Occurred
Jan 30, 2023
Advisor changed firm
Riley Charles Moring left Lpl Financial Llc for Osaic Wealth, Inc. (registered 2023-01-10)
Form ADVobserved 5 days ago