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
Patrick Kevin Dailey
Transamerica Financial Advisors, LLCBD affiliatedRancho Santa Margarita, Cadual registrantIAPD 2475693
Feed of 09/14/2026
Also filed as Patrick Dailey
At current firm
7 y
since Sep 5, 2019
In the industry
32 y
since Jun 9, 1994 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Transamerica Financial Advisors, LLC BD affiliated currentsince Sep 5, 2019 · Rancho Santa Margarita, Ca
- Claraphi Advisory Network, LLC independent RIAOct 12, 2017 to Jun 20, 2019 · Aliso Viejo, Ca
- Acorns independent RIAMar 20, 2015 to Jul 20, 2017 · Irvine, Ca
- Northwestern Mutual Investment Services,LLC no RAUMMay 13, 2013 to Dec 17, 2014 · Los Angeles, Ca
- Cetera Advisor Networks LLC formerJul 11, 2012 to Jan 8, 2013 · El Segundo, Ca
- Western International Securities formerMar 24, 2009 to Jul 9, 2012 · Frederick, Md
- First Allied Securities, Inc. formerJan 26, 2007 to Oct 20, 2008 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- Claraphi Advisory Network, LLC to Transamerica Financial Advisors, LLCleft Jun 20, 2019, registered Sep 5, 2019 (77 days) · RIA to affiliated broker-dealer or bank
- Acorns to Claraphi Advisory Network, LLCleft Jul 20, 2017, registered Oct 12, 2017 (84 days) · Other
- Northwestern Mutual Investment Services,LLC to Acornsleft Dec 17, 2014, registered Mar 20, 2015 (93 days) · Other
- Cetera Advisor Networks LLC to Northwestern Mutual Investment Services,LLCleft Jan 8, 2013, registered May 13, 2013 (125 days) · Other
- Western International Securities to Cetera Advisor Networks LLCleft Jul 9, 2012, registered Jul 11, 2012 (2 days) · Other
- First Allied Securities, Inc. to Western International Securitiesleft Oct 20, 2008, registered Mar 24, 2009 (155 days) · Other
Signals
No dated event on this person.
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