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.
Registered advisor
Alexander William Hargrave
Feed of 09/15/2026
At current firm
12 y
since Sep 16, 2014
In the industry
40 y
since Jan 30, 1986 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Global Retirement Partners LLC institutional currentsince Sep 16, 2014 · San Rafael, Ca
- Financial Telesis, Inc. formerFeb 17, 2011 to Dec 24, 2014 · San Rafael, Ca
- Sterne Agee Asset Management, Inc. formerFeb 11, 2011 to Feb 22, 2011 · San Francisco, Al
- Nollenberger Capital Partners Inc. unclassifiedFeb 15, 2007 to Feb 12, 2011 · San Francisco, Ca
- RBC Capital Markets, LLC national BDNov 10, 2005 to Mar 1, 2007 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- Financial Telesis, Inc. to Global Retirement Partners LLCleft Dec 24, 2014, registered Sep 16, 2014 (-99 days) · Other
- Sterne Agee Asset Management, Inc. to Financial Telesis, Inc.left Feb 22, 2011, registered Feb 17, 2011 (-5 days) · Other
- Nollenberger Capital Partners Inc. to Sterne Agee Asset Management, Inc.left Feb 12, 2011, registered Feb 11, 2011 (-1 days) · Other
- RBC Capital Markets, LLC to Nollenberger Capital Partners Inc.left Mar 1, 2007, registered Feb 15, 2007 (-14 days) · Other
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
- Institutional managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address