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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

KAREE HOFFMAN SAMPSON

Advisor at ARAX ADVISORY PARTNERS

NEW YORK, NY | Dallas, TX

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Search this name across graphsid dfx:ria:b00aef68-49cd-b634-c320-f0f3d20ea174

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 29, 1984 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: ARAX ADVISORY PARTNERS
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: Feb 21, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Feb 21, 1984
First registration: Feb 29, 1984
Dual registered: yes, broker-dealer
Other names: KAREE HOFFMAN
IAPD individual key: 1240088

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
ARAX ADVISORY PARTNERS	Bd affiliated wealth	Jul 17, 2026	n/a	yes	NEW YORK, NY\|Dallas, TX	Current employment
U.S. CAPITAL WEALTH ADVISORS, LLC	Bd affiliated wealth	Jun 30, 2021	Jul 21, 2026	no	AUSTIN, TX	Previous registration
USCA RIA LLC	Former SEC adviser	Feb 12, 2016	Jun 30, 2021	no	Dallas, TX\|HOUSTON, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Mar 7, 2006	Feb 16, 2016	no	DALLAS, TX	Previous registration
MORGAN STANLEY DW INC.	n/a	Feb 29, 1984	Feb 14, 2006	no	DALLAS, TX	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
U.S. CAPITAL WEALTH ADVISORS, LLC	ARAX ADVISORY PARTNERS	Jul 21, 2026	Jul 17, 2026	-4	Bulk transfer	Ibd to ibd
USCA RIA LLC	U.S. CAPITAL WEALTH ADVISORS, LLC	Jun 30, 2021	Jun 30, 2021	0	Bulk transfer	Ibd to RIA
WELLS FARGO ADVISORS	USCA RIA LLC	Feb 16, 2016	Feb 12, 2016	-4	Firm change	Other
MORGAN STANLEY DW INC.	WELLS FARGO ADVISORS	Feb 14, 2006	Mar 7, 2006	21	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:152170:TX:2016-02-16	Feb 16, 2016	Feb 12, 2016	DALLAS, TX	Firm change

Relationships

Registered with (5)

→ ARAX ADVISORY PARTNERSRegistered adviserregistration: current employment
Jul 17, 2026 to presentfactForm ADV
→ U.S. CAPITAL WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Jun 30, 2021 to Jul 21, 2026factForm ADV
→ USCA RIA LLCRegistered adviserregistration: previous registration
Feb 12, 2016 to Jun 30, 2021factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 7, 2006 to Feb 16, 2016factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Feb 29, 1984 to Feb 14, 2006factForm ADV

Dated events

No dated event names this entity yet.