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
Rory Jacob Dale Hart
Feed of 09/14/2026
Also filed as Rory Jacob Dale Hart
At current firm
1 y
since Jul 10, 2025
In the industry
26 y
since Nov 9, 1999 (earliest exam, job or registration)
Prior registered firms
10
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jul 10, 2025 · Dove Canyon, Ca
- Cadaret Grant & Co Inc formerNov 30, 2023 to Jul 10, 2025 · Syracuse, Ny
- Osaic Fs, Inc. formerApr 14, 2021 to Nov 30, 2023 · Dove Canyon, Ca
- Pruco Securities, LLC no RAUMMar 5, 2020 to Apr 21, 2021 · Irvine, Ca
- The Wealth Consulting Group independent RIAJun 26, 2017 to Feb 27, 2020 · Huntington Beach, Ca
- LPL Financial LLC BD affiliatedJun 30, 2016 to Mar 11, 2020 · Irvine, Ca
- Level Four Advisory Services BD affiliatedJun 29, 2016 to Jul 5, 2017 · Irvine, Ca
- Financial Management Network Inc independent RIANov 25, 2014 to Dec 8, 2016 · Mission Viejo, Ca
- United Capital Financial Advisors independent RIAFeb 15, 2013 to Nov 21, 2014 · Irvine, Ca
- Pence Wealth Management, Inc. unclassifiedJan 30, 2012 to Jul 10, 2013 · Newport Beach, Ca
- LPL Financial LLC BD affiliatedJan 21, 2010 to Mar 6, 2013 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- Cadaret Grant & Co Inc to LPL Financial LLCleft Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
- Osaic Fs, Inc. to Cadaret Grant & Co Incleft Nov 30, 2023, registered Nov 30, 2023 (0 days) · Affiliated broker-dealer or bank to another
- Pruco Securities, LLC to Osaic Fs, Inc.left Apr 21, 2021, registered Apr 14, 2021 (-7 days) · Affiliated broker-dealer or bank to another
- LPL Financial LLC to The Wealth Consulting Groupleft Mar 11, 2020, registered Jun 26, 2017 (-989 days) · Other
- The Wealth Consulting Group to Pruco Securities, LLCleft Feb 27, 2020, registered Mar 5, 2020 (7 days) · RIA to affiliated broker-dealer or bank
- Level Four Advisory Services to LPL Financial LLCleft Jul 5, 2017, registered Jun 30, 2016 (-370 days) · Other
- Financial Management Network Inc to Level Four Advisory Servicesleft Dec 8, 2016, registered Jun 29, 2016 (-162 days) · Other · moved with a team
- United Capital Financial Advisors to Financial Management Network Incleft Nov 21, 2014, registered Nov 25, 2014 (4 days) · Other
- Pence Wealth Management, Inc. to United Capital Financial Advisorsleft Jul 10, 2013, registered Feb 15, 2013 (-145 days) · Other
- LPL Financial LLC to Pence Wealth Management, Inc.left Mar 6, 2013, registered Jan 30, 2012 (-401 days) · Other
Signals
- Rory Jacob Dale Hart left Osaic Fs, Inc. for Cadaret Grant & Co Inc (registered 2023-11-30)Nov 30, 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address