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.

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Registered advisor

C•••• A• D••• N••• Q••

C•••••• S••••••••• M••••••••• I•••independent RIAReston, Va dual registrantIAPD 2103710

Feed of 09/15/2026

Also filed as Carol Ann Dinh Nhat Quy

At current firm

2 y

since Jul 22, 2024

In the industry

35 y

since May 28, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••••••• M••••••••• I••• independent RIA current
since Jul 22, 2024 · Reston, Va
M••••• S•••••• wirehouse
Aug 22, 2017 to Jul 29, 2024 · Washington, Dc
W•••• F•••• A••••••• wirehouse
Aug 12, 2016 to Aug 7, 2017 · Washington, Dc
U•• F•••••••• S••••••• I••• wirehouse
Feb 20, 2009 to Aug 23, 2016 · Washington, Dc
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Feb 12, 2009 · Washington, Dc
M••••• S•••••• D• I••• unclassified
Sep 22, 2006 to Apr 2, 2007 · Washington, Dc

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to C•••••• S••••••••• M••••••••• I•••
left Jul 29, 2024, registered Jul 22, 2024 (-7 days) · Wirehouse to independent RIA
W•••• F•••• A••••••• to M••••• S••••••
left Aug 7, 2017, registered Aug 22, 2017 (15 days) · Wirehouse to wirehouse · moved with a team
U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
left Aug 23, 2016, registered Aug 12, 2016 (-11 days) · Wirehouse to wirehouse · moved with a team
M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••
left Feb 12, 2009, registered Feb 20, 2009 (8 days) · Other
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

Signals

Carol A Dinh Nhat Quy left Morgan Stanley for Capitol Securities Management, Inc. (registered 2024-07-22)
Jul 29, 2024 · 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: Independent wealth managerderived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address