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

Charles Douglas Hartley

A.G.P / Alliance Global Partnersindependent RIANewport Beach, Ca dual registrantIAPD 2658276

Feed of 09/14/2026

Also filed as Charlie Hartley

At current firm

2 y

since Feb 28, 2024

In the industry

30 y

since Oct 16, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A.G.P / Alliance Global Partners independent RIA current
since Feb 28, 2024 · Washington, Dc
B. Riley Wealth Advisors, Inc. BD affiliated
Aug 22, 2022 to Mar 4, 2024 · Washington, Dc
B Riley Wealth Management former
Oct 9, 2020 to Dec 31, 2022 · Washington, Dc
Wells Fargo Advisors wirehouse
Feb 1, 2013 to Oct 13, 2020 · Washington, Dc
Raymond James Financial Services Advisors, Inc BD affiliated
Jan 2, 2009 to Feb 4, 2013 · San Francisco, Ca
Raymond James Financial Services, Inc. unclassified
May 1, 2002 to Jan 2, 2009 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

B. Riley Wealth Advisors, Inc. to A.G.P / Alliance Global Partners
left Mar 4, 2024, registered Feb 28, 2024 (-5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
B Riley Wealth Management to B. Riley Wealth Advisors, Inc.
left Dec 31, 2022, registered Aug 22, 2022 (-131 days) · corporate re-registration, not a move
Wells Fargo Advisors to B Riley Wealth Management
left Oct 13, 2020, registered Oct 9, 2020 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Raymond James Financial Services Advisors, Inc to Wells Fargo Advisors
left Feb 4, 2013, registered Feb 1, 2013 (-3 days) · Other
Raymond James Financial Services, Inc. to Raymond James Financial Services Advisors, Inc
left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move

Signals

Charles Douglas Hartley left B. Riley Wealth Advisors, Inc. for A.G.P / Alliance Global Partners (registered 2024-02-28)
Mar 4, 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: Independent wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address