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

Scott Matthew Friel

Assetmark, Inc.BD affiliatedConcord, Ca IA-onlyIAPD 2205230

Feed of 09/14/2026

Also filed as Scott Matthew Friel

At current firm

1 y

since Nov 1, 2024

In the industry

34 y

since Jan 7, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Assetmark, Inc. BD affiliated current
since Nov 1, 2024 · Omaha, Ne
Osaic Wealth, Inc. BD affiliated
Jun 14, 2024 to Oct 7, 2024 · Scottsdale, Az
Securities America Advisors, Inc. former
May 26, 2021 to Jun 14, 2024 · La Vista, Ne
Potomac asset manager
Dec 3, 2020 to Jan 15, 2021 · Bethesda, Md
Absolute Capital Management, LLC independent RIA
Nov 26, 2019 to Nov 2, 2020 · Omaha, Ne
The Pacific Financial Group, Inc. independent RIA
Feb 8, 2007 to Nov 18, 2019 · Nashville, Tn
Qa3 Financial LLC unclassified
Jul 2, 2004 to Dec 31, 2005 · Omaha, Ne
Sunset Financial Services, Inc. former
Sep 6, 2001 to Nov 18, 2002 · Omaha, Ne

Moves

a registration end followed by a registration begin elsewhere

Osaic Wealth, Inc. to Assetmark, Inc.
left Oct 7, 2024, registered Nov 1, 2024 (25 days) · Affiliated broker-dealer or bank to another
Securities America Advisors, Inc. to Osaic Wealth, Inc.
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
Potomac to Securities America Advisors, Inc.
left Jan 15, 2021, registered May 26, 2021 (131 days) · Other
Absolute Capital Management, LLC to Potomac
left Nov 2, 2020, registered Dec 3, 2020 (31 days) · Other
The Pacific Financial Group, Inc. to Absolute Capital Management, LLC
left Nov 18, 2019, registered Nov 26, 2019 (8 days) · RIA to RIA
Qa3 Financial LLC to The Pacific Financial Group, Inc.
left Dec 31, 2005, registered Feb 8, 2007 (404 days) · Other
Sunset Financial Services, Inc. to Qa3 Financial LLC
left Nov 18, 2002, registered Jul 2, 2004 (592 days) · Other

Signals

Scott Matthew Friel left Osaic Wealth, Inc. for Assetmark, Inc. (registered 2024-11-01)
Oct 7, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address