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
Renee Grace Faison
Feed of 09/15/2026
Also filed as Regina Louisa Daly
At current firm
4 y
since Jun 13, 2022
In the industry
30 y
since Jul 25, 1996 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
5
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
- Kingswood Wealth Advisors, LLC BD affiliated currentsince Jun 13, 2022 · Foothill Ranch, Ca
- World Equity Group, Inc. BD affiliatedMay 22, 2020 to Jun 13, 2022 · Irvine, Ca
- Wealth Teams Alliance independent RIAAug 1, 2017 to Jan 21, 2021 · Irvine, Ca
- Woodbury Financial Services, Inc. formerAug 6, 2010 to Jul 17, 2017 · Costa Mesa, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJun 7, 2004 to Aug 10, 2010 · Laguna Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- World Equity Group, Inc. to Kingswood Wealth Advisors, LLCleft Jun 13, 2022, registered Jun 13, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA
- Wealth Teams Alliance to World Equity Group, Inc.left Jan 21, 2021, registered May 22, 2020 (-244 days) · RIA to affiliated broker-dealer or bank
- Woodbury Financial Services, Inc. to Wealth Teams Allianceleft Jul 17, 2017, registered Aug 1, 2017 (15 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Woodbury Financial Services, Inc.left Aug 10, 2010, registered Aug 6, 2010 (-4 days) · Other
Signals
- Renee Grace Faison left World Equity Group, Inc. for Kingswood Wealth Advisors, Llc (registered 2022-06-13)Jun 13, 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address