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

William Paul Fauzio

Osaic Wealth, Inc.BD affiliatedBedford, Nh dual registrantIAPD 2193834

Feed of 09/14/2026

Also filed as Bill Fauzio

At current firm

0 y

since Aug 7, 2026

In the industry

18 y

since Jun 4, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Osaic Wealth, Inc. BD affiliated current
since Aug 7, 2026 · North Branford, Ct
Vanderbilt Advisory Services BD affiliated
Mar 29, 2023 to Aug 7, 2026 · North Brandon, Ct
Union Capital Company independent RIA
Jul 30, 2019 to Mar 28, 2023 · Branford, Ct
Capital Financial Services, Inc. former
Jun 12, 2014 to Jul 30, 2019 · Bedford, Nh
William Paul Fauzio unclassified
Apr 25, 2014 to Jun 12, 2014 · Branford, Ct
Questar Asset Management, Inc. former
Jun 9, 2008 to Jul 29, 2009 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

Vanderbilt Advisory Services to Osaic Wealth, Inc.
left Aug 7, 2026, registered Aug 7, 2026 (0 days) · Affiliated broker-dealer or bank to another
Union Capital Company to Vanderbilt Advisory Services
left Mar 28, 2023, registered Mar 29, 2023 (1 days) · RIA to affiliated broker-dealer or bank
Capital Financial Services, Inc. to Union Capital Company
left Jul 30, 2019, registered Jul 30, 2019 (0 days) · RIA to RIA
William Paul Fauzio to Capital Financial Services, Inc.
left Jun 12, 2014, registered Jun 12, 2014 (0 days) · Other
Questar Asset Management, Inc. to William Paul Fauzio
left Jul 29, 2009, registered Apr 25, 2014 (1731 days) · Other

Signals

William Paul Fauzio left Vanderbilt Advisory Services for Osaic Wealth, Inc. (registered 2026-08-07)
Aug 7, 2026 · Advisor changed firm · fact
William Paul Fauzio left Union Capital Company for Vanderbilt Advisory Services (registered 2023-03-29)
Mar 28, 2023 · 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address