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
Xavier M Ray
Certified Financial Planner
Feed of 09/14/2026
Also filed as Xray Ray
At current firm
0 y
since Apr 10, 2026
In the industry
35 y
since Mar 8, 1991 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
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
- Ameriprise Financial Services, LLC national BD currentsince Apr 10, 2026 · Los Angeles, Ca
- Independent Financial Group, LLC BD affiliatedMar 13, 2015 to Apr 10, 2026 · Los Angeles, Ca
- Questar Asset Management, Inc. formerJan 25, 2008 to Mar 31, 2015 · Minneapolis, Mn
- Securities America Advisors, Inc. formerApr 30, 2007 to Jan 14, 2008 · Los Angeles, Ca
- LPL Financial LLC BD affiliatedJun 9, 2004 to Jun 9, 2006 · Los Angeles, Ca
- Householder Group, Estate & Retirement Specialists unclassifiedOct 9, 2001 to Jun 18, 2004 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- Independent Financial Group, LLC to Ameriprise Financial Services, LLCleft Apr 10, 2026, registered Apr 10, 2026 (0 days) · Affiliated broker-dealer or bank to another
- Questar Asset Management, Inc. to Independent Financial Group, LLCleft Mar 31, 2015, registered Mar 13, 2015 (-18 days) · Other · moved with a team
- Securities America Advisors, Inc. to Questar Asset Management, Inc.left Jan 14, 2008, registered Jan 25, 2008 (11 days) · Other
- LPL Financial LLC to Securities America Advisors, Inc.left Jun 9, 2006, registered Apr 30, 2007 (325 days) · Other
- Householder Group, Estate & Retirement Specialists to LPL Financial LLCleft Jun 18, 2004, registered Jun 9, 2004 (-9 days) · Other
Signals
- Xavier M Ray left Independent Financial Group, Llc for Ameriprise Financial Services, Llc (registered 2026-04-10)Apr 10, 2026 · 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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address