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
Dena Kate Schwartz
Feed of 09/14/2026
Also filed as Dena Kate Schwartz
At current firm
1 y
since Aug 6, 2025
In the industry
31 y
since Jun 20, 1995 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Independent Financial Group, LLC BD affiliated currentsince Aug 6, 2025 · San Diego, Ca
- LPL Financial LLC BD affiliatedAug 31, 2023 to Aug 22, 2025 · San Diego, Ca
- Wells Fargo Investments, LLC unclassifiedAug 31, 2004 to Apr 28, 2009 · San Diego, Ca
- Mutual Service Corporation unclassifiedSep 6, 2001 to Mar 31, 2003 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to Independent Financial Group, LLCleft Aug 22, 2025, registered Aug 6, 2025 (-16 days) · Affiliated broker-dealer or bank to another
- Wells Fargo Investments, LLC to LPL Financial LLCleft Apr 28, 2009, registered Aug 31, 2023 (5238 days) · Other
- Mutual Service Corporation to Wells Fargo Investments, LLCleft Mar 31, 2003, registered Aug 31, 2004 (519 days) · Other
Signals
- Dena Kate Schwartz left Lpl Financial Llc for Independent Financial Group, Llc (registered 2025-08-06)Aug 22, 2025 · 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address