DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Feed of 09/14/2026
Also filed as Pat Mcgrath
At current firm
1 y
since Jun 5, 2025
In the industry
42 y
since May 4, 1984 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
5
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jun 5, 2025 · Massapequa, Ny
- Western International Securities formerNov 19, 2018 to Jun 5, 2025 · Massapequa, Ny
- Northeast Asset Management LLC formerDec 10, 2014 to Apr 23, 2019 · Miami, Fl
- Oppenheimer & Co. Inc. BD affiliatedApr 29, 2009 to Jan 14, 2014 · Coral Gables, Fl
- Wells Fargo Advisors wirehouseJul 1, 2003 to Apr 20, 2009 · Coral Gables, Fl
- Prudential Equity Group, LLC unclassifiedMay 21, 2001 to Jul 1, 2003 · Coral Gables, Fl
Moves
a registration end followed by a registration begin elsewhere
- Western International Securities to LPL Financial LLCleft Jun 5, 2025, registered Jun 5, 2025 (0 days) · corporate re-registration, not a move
- Northeast Asset Management LLC to Western International Securitiesleft Apr 23, 2019, registered Nov 19, 2018 (-155 days) · Other
- Oppenheimer & Co. Inc. to Northeast Asset Management LLCleft Jan 14, 2014, registered Dec 10, 2014 (330 days) · Other
- Wells Fargo Advisors to Oppenheimer & Co. Inc.left Apr 20, 2009, registered Apr 29, 2009 (9 days) · Other
- Prudential Equity Group, LLC to Wells Fargo Advisorsleft Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address