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 Grant

Cambridge Investment Research Advisors, Inc.BD affiliatedRome, Ga dual registrantIAPD 2709606

Feed of 09/14/2026

At current firm

0 y

since Dec 1, 2025

In the industry

27 y

since Oct 24, 1998 (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

Cambridge Investment Research Advisors, Inc. BD affiliated current
since Dec 1, 2025 · Rome, Ga
Dempsey Lord Smith, LLC former
Jan 7, 2026 to Apr 3, 2026 · Rome, Ga
Dempsey Lord Smith, LLC former
Apr 26, 2016 to Dec 31, 2025 · Riverdale, Ga
Kovack Advisors, Inc. BD affiliated
Jan 26, 2015 to Dec 31, 2015 · Kennesaw, Ga
Resource Horizons Investment Advisory, Inc. former
Jan 8, 2008 to Dec 31, 2014 · Lithonia, Ga
Resource Horizons Group LLC unclassified
Apr 15, 2005 to Dec 31, 2007 · Lithonia, Ga
MML Investors Services, LLC BD affiliated
Apr 11, 2003 to Jan 7, 2005 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

Dempsey Lord Smith, LLC to no registered destination
left Apr 3, 2026 · Departure, no registered destination
Dempsey Lord Smith, LLC to Cambridge Investment Research Advisors, Inc.
left Dec 31, 2025, registered Dec 1, 2025 (-30 days) · corporate re-registration, not a move
Kovack Advisors, Inc. to Dempsey Lord Smith, LLC
left Dec 31, 2015, registered Apr 26, 2016 (117 days) · Other
Resource Horizons Investment Advisory, Inc. to Kovack Advisors, Inc.
left Dec 31, 2014, registered Jan 26, 2015 (26 days) · corporate re-registration, not a move
Resource Horizons Group LLC to Resource Horizons Investment Advisory, Inc.
left Dec 31, 2007, registered Jan 8, 2008 (8 days) · Other
MML Investors Services, LLC to Resource Horizons Group LLC
left Jan 7, 2005, registered Apr 15, 2005 (98 days) · Other

Signals

Patrick Grant no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
Apr 3, 2026 · Advisor departure · 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