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RIA / WealthAdvisor18 years in industry

Daniel Patrick Foley

Advisor at LOCKTON INVESTMENT ADVISORS, LLC

OVERLAND PARK, KS | Philadelphia, PA

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Search this name across graphsid dfx:ria:4f79cba5-b9e5-30ad-9b65-aa960b471755

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 30, 2008 to Sep 15, 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: LOCKTON INVESTMENT ADVISORS, LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 28, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S65
First exam: Apr 28, 2008
First registration: Apr 30, 2008
Dual registered: no
Other names: DANIEL P FOLEY
IAPD individual key: 5508695

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
LOCKTON INVESTMENT ADVISORS, LLC	No RAUM reported	Jul 1, 2021	n/a	yes	Philadelphia, PA\|OVERLAND PARK, KS	Current employment
INNOVATIVE INVESTMENT FIDUCIARIES, LLC	Former SEC adviser	Jul 1, 2014	Jun 1, 2021	no	MOORESTOWN, NJ\|Cinnaminson, NJ	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Aug 6, 2008	Mar 5, 2010	no	MT LAUREL, NJ\|WILMINGTON, DE	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Apr 30, 2008	Jun 18, 2008	no	Marlton, NJ	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
INNOVATIVE INVESTMENT FIDUCIARIES, LLC	LOCKTON INVESTMENT ADVISORS, LLC	Jun 1, 2021	Jul 1, 2021	30	Firm change	Other
CETERA ADVISOR NETWORKS LLC	INNOVATIVE INVESTMENT FIDUCIARIES, LLC	Mar 5, 2010	Jul 1, 2014	1,579	Firm change after gap	Other
PRINCIPAL SECURITIES, INC.	CETERA ADVISOR NETWORKS LLC	Jun 18, 2008	Aug 6, 2008	49	Firm change	Other

Relationships

Registered with (4)

→ LOCKTON INVESTMENT ADVISORS, LLCRegistered adviserregistration: current employment
Jul 1, 2021 to presentfactForm ADV
→ INNOVATIVE INVESTMENT FIDUCIARIES, LLCRegistered adviserregistration: previous registration
Jul 1, 2014 to Jun 1, 2021factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Aug 6, 2008 to Mar 5, 2010factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Apr 30, 2008 to Jun 18, 2008factForm ADV

Dated events

No dated event names this entity yet.