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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

DANIEL STEPHEN DIPAOLA

Advisor at CETERA INVESTMENT ADVISERS LLC

Pittsford, NY | PITTSFORD, NY | Ballston Spa, NY

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Search this name across graphsid dfx:ria:e33b049e-ecee-52da-ac6c-490659759aa1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Oct 19, 2010 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: CETERA INVESTMENT ADVISERS LLC
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: Jul 12, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 2
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Jul 12, 2003
First registration: Oct 19, 2010
Dual registered: yes, broker-dealer
Other names: DANIEL DIPAOLA
IAPD individual key: 4649328

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
BLUE HORIZON EQUITY, INC.	Independent wealth	May 22, 2026	n/a	yes	PITTSFORD, NY	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	May 19, 2026	n/a	yes	Pittsford, NY\|Ballston Spa, NY	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Oct 11, 2024	May 21, 2026	no	Ballston Spa, NY\|Pittsford, NY\|SCOTTSDALE, AZ	Previous registration
NOVEM GROUP	Independent wealth	Oct 8, 2014	Oct 4, 2024	no	ROCHESTER, NY\|Pittsford, NY	Previous registration
AMERICAN PORTFOLIOS ADVISORS, INC	Former SEC adviser	Oct 6, 2014	Oct 11, 2024	no	HOLBROOK, NY	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Oct 19, 2010	Oct 9, 2014	no	ROCHESTER, NY\|PITTSFORD, NY\|ROCHESTER, NY	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
OSAIC WEALTH, INC.	CETERA INVESTMENT ADVISERS LLC	May 21, 2026	May 19, 2026	-2	Firm change	Ibd to ibd
AMERICAN PORTFOLIOS ADVISORS, INC	NOVEM GROUP	Oct 11, 2024	Oct 8, 2014	-3,656	Firm change after gap	Other
NOVEM GROUP	OSAIC WEALTH, INC.	Oct 4, 2024	Oct 11, 2024	7	Firm change	RIA to ibd
EQUITABLE ADVISORS, LLC	AMERICAN PORTFOLIOS ADVISORS, INC	Oct 9, 2014	Oct 6, 2014	-3	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
112697:158964:NY:2024-10-11	Oct 11, 2024	Oct 8, 2014	HOLBROOK, NY	Firm change after gap

Relationships

Registered with (6)

→ BLUE HORIZON EQUITY, INC.Registered adviserregistration: current employment
May 22, 2026 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
May 19, 2026 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Oct 11, 2024 to May 21, 2026factForm ADV
→ AMERICAN PORTFOLIOS ADVISORS, INCRegistered adviserregistration: previous registration
Oct 6, 2014 to Oct 11, 2024factForm ADV
→ NOVEM GROUPRegistered adviserregistration: previous registration
Oct 8, 2014 to Oct 4, 2024factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 19, 2010 to Oct 9, 2014factForm ADV

Dated events

Occurred
May 21, 2026
Advisor changed firm
Daniel Stephen Dipaola left Osaic Wealth, Inc. for Cetera Investment Advisers Llc (registered 2026-05-19)
Form ADVobserved 5 days ago
Occurred
Oct 11, 2024
Advisor changed firm
Daniel Stephen Dipaola left American Portfolios Advisors, Inc for Novem Group (registered 2014-10-08)
Form ADVobserved 5 days ago
Occurred
Oct 4, 2024
Advisor changed firm
Daniel Stephen Dipaola left Novem Group for Osaic Wealth, Inc. (registered 2024-10-11)
Form ADVobserved 5 days ago