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 James Dubois
Feed of 09/14/2026
Also filed as Dj Dubois
At current firm
11 y
since May 11, 2015
In the industry
21 y
since Feb 7, 2005 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
6
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Oneamerica Securities, Inc. BD affiliated currentsince May 11, 2015 · Newport Beach, Ca
- Signator Investors, Inc. formerJan 15, 2015 to Apr 14, 2015 · Irvine, Ca
- Signature Resources Capital Management, LLC independent RIAOct 11, 2013 to Dec 17, 2014 · Newport Beach, Ca
- Msi Financial Services, Inc. formerNov 2, 2010 to Sep 18, 2013 · Irvine, Ca
- Next Financial Group, Inc. formerJul 6, 2007 to Sep 7, 2010 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- Signator Investors, Inc. to Oneamerica Securities, Inc.left Apr 14, 2015, registered May 11, 2015 (27 days) · Other
- Signature Resources Capital Management, LLC to Signator Investors, Inc.left Dec 17, 2014, registered Jan 15, 2015 (29 days) · Other
- Msi Financial Services, Inc. to Signature Resources Capital Management, LLCleft Sep 18, 2013, registered Oct 11, 2013 (23 days) · Other
- Next Financial Group, Inc. to Msi Financial Services, Inc.left Sep 7, 2010, registered Nov 2, 2010 (56 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address