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
Andrew Corey Fass
Feed of 09/14/2026
Also filed as Andrew Corey Fass
At current firm
1 y
since Sep 5, 2025
In the industry
39 y
since Mar 11, 1987 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Cetera Investment Advisers LLC BD affiliated currentsince Sep 5, 2025 · Carmichael, Ca
- Avantax Advisory Services formerFeb 2, 2022 to Sep 5, 2025 · Gold River, Ca
- Hilltop Securities Inc. BD affiliatedDec 7, 2015 to Mar 2, 2022 · Dallas, Tx
- Beverly Hills Wealth Management, LLC formerAug 13, 2012 to Jan 19, 2016 · Beverly Hills, Ca
- Robert W. Baird & Co. Incorporated mixed wealthJul 3, 2008 to Jul 20, 2012 · Grass Valley, Ca
- Morgan Stanley & Co. LLC unclassifiedOct 12, 2007 to Jun 12, 2008 · Roseville, Ca
- Wells Fargo Advisors wirehouseMay 13, 2003 to Oct 16, 2007 · Folsom, Ca
Moves
a registration end followed by a registration begin elsewhere
- Avantax Advisory Services to Cetera Investment Advisers LLCleft Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- Hilltop Securities Inc. to Avantax Advisory Servicesleft Mar 2, 2022, registered Feb 2, 2022 (-28 days) · Affiliated broker-dealer or bank to another
- Beverly Hills Wealth Management, LLC to Hilltop Securities Inc.left Jan 19, 2016, registered Dec 7, 2015 (-43 days) · Other · moved with a team
- Robert W. Baird & Co. Incorporated to Beverly Hills Wealth Management, LLCleft Jul 20, 2012, registered Aug 13, 2012 (24 days) · Other
- Morgan Stanley & Co. LLC to Robert W. Baird & Co. Incorporatedleft Jun 12, 2008, registered Jul 3, 2008 (21 days) · Other
- Wells Fargo Advisors to Morgan Stanley & Co. LLCleft Oct 16, 2007, registered Oct 12, 2007 (-4 days) · Other
Signals
- Andrew Corey Fass left Hilltop Securities Inc. for Avantax Advisory Services (registered 2022-02-02)Mar 2, 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