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
Dale R. Haithcock
Feed of 09/14/2026
Also filed as Dale Haithcock
At current firm
0 y
since Jan 5, 2026
In the industry
32 y
since Nov 10, 1993 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
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
- Auxi Asset Management, LLC state registered currentsince Jan 5, 2026 · Danville, Ca
- Stone & Youngberg LLC formerNov 8, 2011 to Jun 7, 2012 · San Francisco, Ca
- Stifel, Nicolaus & Company, Incorporated national BDNov 3, 2011 to Jun 7, 2012 · San Francisco, Ca
- S & Y Asset Management LLC unclassifiedMar 11, 2005 to Dec 24, 2008 · San Francisco, Ca
- Stone & Youngberg LLC formerSep 10, 2004 to Nov 3, 2011 · San Francisco, Ca
- Quick & Reilly, Inc. unclassifiedNov 21, 2002 to Oct 1, 2004 · San Francisco, Ca
- Robertson Stephens, Inc. unclassifiedNov 18, 1998 to Aug 15, 2002 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- Stifel, Nicolaus & Company, Incorporated to Stone & Youngberg LLCleft Jun 7, 2012, registered Nov 8, 2011 (-212 days) · channel change inside one enterprise, not a move
- Stone & Youngberg LLC to Auxi Asset Management, LLCleft Jun 7, 2012, registered Jan 5, 2026 (4960 days) · Other
- Stone & Youngberg LLC to S & Y Asset Management LLCleft Nov 3, 2011, registered Mar 11, 2005 (-2428 days) · Other
- S & Y Asset Management LLC to Stifel, Nicolaus & Company, Incorporatedleft Dec 24, 2008, registered Nov 3, 2011 (1044 days) · Other
- Quick & Reilly, Inc. to Stone & Youngberg LLCleft Oct 1, 2004, registered Sep 10, 2004 (-21 days) · Other
- Robertson Stephens, Inc. to Quick & Reilly, Inc.left Aug 15, 2002, registered Nov 21, 2002 (98 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
- STATE REGISTEREDderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address