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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

DAVID PAUL HEROUX

Advisor at WEALTHSPIRE RETIREMENT ADVISORY

ALISO VIEJO, CA | New Smyrna Beach, FL

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Search this name across graphsid dfx:ria:624bd706-d60b-6df0-e860-ef4a9d1c0404

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 14, 2004 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: WEALTHSPIRE RETIREMENT ADVISORY
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 20, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Jan 20, 2004
First registration: May 14, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4746171

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
WEALTHSPIRE RETIREMENT ADVISORY	Institutional manager	Jun 4, 2015	n/a	yes	ALISO VIEJO, CA\|New Smyrna Beach, FL	Current employment
INDEPENDENT FINANCIAL PARTNERS	Bd affiliated wealth	Mar 14, 2014	Jun 10, 2015	no	SANTA ANA, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 16, 2013	May 21, 2015	no	SANTA ANA, CA\|SACRAMENTO, CA\|SANTA ANA, CA	Previous registration
QUESTAR ASSET MANAGEMENT, INC.	Former SEC adviser	Jul 13, 2006	May 29, 2013	no	SIMI VALLEY, CA	Previous registration
USALLIANZ SECURITIES, INC.	n/a	May 14, 2004	Jun 16, 2006	no	LOS ANGELES, CA\|SIMI VALLEY, CA\|SANTA ANA, CA\|SIMI VALLEY, CA	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
INDEPENDENT FINANCIAL PARTNERS	WEALTHSPIRE RETIREMENT ADVISORY	Jun 10, 2015	Jun 4, 2015	-6	Firm change	Other
LPL FINANCIAL LLC	INDEPENDENT FINANCIAL PARTNERS	May 21, 2015	Mar 14, 2014	-433	Firm change after gap	Other
QUESTAR ASSET MANAGEMENT, INC.	LPL FINANCIAL LLC	May 29, 2013	May 16, 2013	-13	Firm change	Other
USALLIANZ SECURITIES, INC.	QUESTAR ASSET MANAGEMENT, INC.	Jun 16, 2006	Jul 13, 2006	27	Bulk transfer	Other

Relationships

Registered with (5)

→ WEALTHSPIRE RETIREMENT ADVISORYRegistered adviserregistration: current employment
Jun 4, 2015 to presentfactForm ADV
→ INDEPENDENT FINANCIAL PARTNERSRegistered adviserregistration: previous registration
Mar 14, 2014 to Jun 10, 2015factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 16, 2013 to May 21, 2015factForm ADV
→ QUESTAR ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Jul 13, 2006 to May 29, 2013factForm ADV
→ USALLIANZ SECURITIES, INC.Registered adviserregistration: previous registration
May 14, 2004 to Jun 16, 2006factForm ADV

Dated events

No dated event names this entity yet.