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

Howard Slater

SeiaBD affiliatedLos Angeles, Ca dual registrantIAPD 2447823

Chartered Financial Consultant

Feed of 09/15/2026

Also filed as Howard Alan Slater

At current firm

2 y

since Jun 19, 2024

In the industry

32 y

since Feb 11, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Seia BD affiliated current
since Jun 19, 2024 · Cleveland, Oh
Cadaret Grant & Co Inc former
Apr 7, 2021 to Jun 17, 2024 · Cleveland, Oh
Cedar Brook Group former
Mar 1, 2018 to Jul 1, 2024 · Cleveland, Oh
Securities America Advisors, Inc. former
Jul 8, 2013 to Apr 13, 2021 · Mayfield Heights, Oh
Securities America Advisors, Inc. former
Jul 22, 2005 to Feb 4, 2013 · Mayfield Heights, Oh
Osaic Fa, Inc. former
Jan 1, 2000 to Jul 20, 2005 · Cleveland, Oh

Moves

a registration end followed by a registration begin elsewhere

Cedar Brook Group to Cadaret Grant & Co Inc
left Jul 1, 2024, registered Apr 7, 2021 (-1181 days) · RIA to affiliated broker-dealer or bank · moved with a team
Cadaret Grant & Co Inc to Seia
left Jun 17, 2024, registered Jun 19, 2024 (2 days) · Affiliated broker-dealer or bank to another · moved with a team
Securities America Advisors, Inc. to Cedar Brook Group
left Apr 13, 2021, registered Mar 1, 2018 (-1139 days) · Other · moved with a team
Osaic Fa, Inc. to Securities America Advisors, Inc.
left Jul 20, 2005, registered Jul 22, 2005 (2 days) · Other

Signals

Howard Slater left Cedar Brook Group for Cadaret Grant & Co Inc (registered 2021-04-07)
Jul 1, 2024 · Advisor changed firm · fact
Howard Slater left Cadaret Grant & Co Inc for Seia (registered 2024-06-19)
Jun 17, 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address