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

Paul Richard Duquette

Osaic Institutions, Inc.BD affiliatedEast Longmeadow, Madual registrantIAPD 2416082

Feed of 09/14/2026

Also filed as Paul Richard Duquette

At current firm

1 y

since Apr 2, 2025

In the industry

27 y

since Mar 20, 1999 (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

Osaic Institutions, Inc. BD affiliated current
since Apr 2, 2025 · East Longmeadow, Ma
Agemy Wealth Advisors, LLC independent RIA
Dec 5, 2024 to Feb 4, 2025 · Denver, Co
Wells Fargo Advisors wirehouse
Jun 8, 2023 to Jan 12, 2024 · Madison, Ct
Citizens Securities, Inc. BD affiliated
Jan 28, 2020 to May 1, 2023 · Johnston, Ri
People'S Securities, Inc. former
Nov 13, 2018 to Jan 29, 2020 · Glastonbury, Ct
People'S United Advisors, Inc. former
Nov 13, 2018 to Jan 29, 2020 · Glastonbury, Ct
Santander Securities BD affiliated
Sep 22, 2015 to Mar 9, 2017 · Wethersfield, Ct
Osaic Institutions, Inc. BD affiliated
Oct 15, 2014 to Jun 30, 2015 · Rockville, Ct
Citizens Securities, Inc. BD affiliated
Sep 28, 2012 to Sep 29, 2014 · Middletown, Ct
LPL Financial LLC BD affiliated
May 27, 2008 to Sep 14, 2012 · Hartford, Ct
Ifmg Securities, Inc. unclassified
Sep 6, 2002 to May 27, 2008 · Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

Agemy Wealth Advisors, LLC to Osaic Institutions, Inc.
left Feb 4, 2025, registered Apr 2, 2025 (57 days) · RIA to affiliated broker-dealer or bank
Wells Fargo Advisors to Agemy Wealth Advisors, LLC
left Jan 12, 2024, registered Dec 5, 2024 (328 days) · Wirehouse to independent RIA
Citizens Securities, Inc. to Wells Fargo Advisors
left May 1, 2023, registered Jun 8, 2023 (38 days) · Affiliated broker-dealer or bank to wirehouse
People'S United Advisors, Inc. to People'S Securities, Inc.
left Jan 29, 2020, registered Nov 13, 2018 (-442 days) · Other
People'S Securities, Inc. to Citizens Securities, Inc.
left Jan 29, 2020, registered Jan 28, 2020 (-1 days) · Other
Santander Securities to People'S United Advisors, Inc.
left Mar 9, 2017, registered Nov 13, 2018 (614 days) · Other
Osaic Institutions, Inc. to Santander Securities
left Jun 30, 2015, registered Sep 22, 2015 (84 days) · Other
Citizens Securities, Inc. to Osaic Institutions, Inc.
left Sep 29, 2014, registered Oct 15, 2014 (16 days) · Other
LPL Financial LLC to Citizens Securities, Inc.
left Sep 14, 2012, registered Sep 28, 2012 (14 days) · Other
Ifmg Securities, Inc. to LPL Financial LLC
left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move

Signals

Paul Richard Duquette left Agemy Wealth Advisors, Llc for Osaic Institutions, Inc. (registered 2025-04-02)
Feb 4, 2025 · Advisor changed firm · fact
Paul Richard Duquette left Wells Fargo Advisors for Agemy Wealth Advisors, Llc (registered 2024-12-05)
Jan 12, 2024 · Advisor changed firm · fact
Paul Richard Duquette left Citizens Securities, Inc. for Wells Fargo Advisors (registered 2023-06-08)
May 1, 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address