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

Daniel Lawrence Caso

Aegis Capital Corp.BD affiliatedMiami, Fl dual registrantIAPD 1587538

Feed of 09/14/2026

Also filed as Daniel Lawrence Caso

At current firm

1 y

since Mar 11, 2025

In the industry

39 y

since Dec 1, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Aegis Capital Corp. BD affiliated current
since Mar 11, 2025 · Miami, Fl
Raymond James & Associates, Inc. national BD
Jul 8, 2022 to Oct 21, 2024 · Boston, Ma
Wells Fargo Advisors wirehouse
Mar 3, 2016 to May 26, 2022 · Boston, Ma
Credit Suisse Securities (USA) LLC former
Jul 1, 2015 to Mar 3, 2016 · Boston, Ma
Barclays Capital Inc. former
Jun 20, 2011 to Jul 15, 2015 · Boston, Ma
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Sep 14, 2007 to Jun 21, 2011 · Boston, Ma
J.P. Morgan Securities LLC wirehouse
Aug 26, 2004 to Sep 26, 2007 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

Raymond James & Associates, Inc. to Aegis Capital Corp.
left Oct 21, 2024, registered Mar 11, 2025 (141 days) · Affiliated broker-dealer or bank to another
Wells Fargo Advisors to Raymond James & Associates, Inc.
left May 26, 2022, registered Jul 8, 2022 (43 days) · Wirehouse to affiliated broker-dealer or bank
Credit Suisse Securities (USA) LLC to Wells Fargo Advisors
left Mar 3, 2016, registered Mar 3, 2016 (0 days) · corporate re-registration, not a move
Barclays Capital Inc. to Credit Suisse Securities (USA) LLC
left Jul 15, 2015, registered Jul 1, 2015 (-14 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Barclays Capital Inc.
left Jun 21, 2011, registered Jun 20, 2011 (-1 days) · Other
J.P. Morgan Securities LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Sep 26, 2007, registered Sep 14, 2007 (-12 days) · Wirehouse to wirehouse

Signals

Daniel Lawrence Caso left Raymond James & Associates, Inc. for Aegis Capital Corp. (registered 2025-03-11)
Oct 21, 2024 · Advisor changed firm · fact
Daniel Lawrence Caso left Wells Fargo Advisors for Raymond James & Associates, Inc. (registered 2022-07-08)
May 26, 2022 · Advisor changed firm · fact

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: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address