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

Brent Allen Ward

Award Financial Groupstate registeredWilton, CaIA-onlyIAPD 2781771

Feed of 09/14/2026

At current firm

0 y

since Jun 1, 2026

In the industry

28 y

since Dec 31, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Award Financial Group state registered current
since Jun 1, 2026 · Wilton, Ca
Foundations Investment Advisors LLC independent RIA
Jun 20, 2025 to May 29, 2026 · Wilton, Ca
Foundations Investment Advisors LLC independent RIA
Oct 7, 2024 to Jun 20, 2025 · Wilton, Ca
Cambridge Investment Research Advisors, Inc. BD affiliated
May 2, 2016 to Oct 3, 2024 · Elk Grove, Ca
The Retirement Group, LLC former
Jan 14, 2015 to Aug 23, 2016 · Elk Grove, Ca
On Investment Management Co BD affiliated
Apr 1, 2008 to Dec 9, 2014 · Elk Grove, Ca
Ameritas Advisory Services former
May 12, 2005 to Nov 17, 2006 · Elk Grove, Ca
Fdx Advisors, Inc. asset manager
Jan 26, 2000 to Jan 26, 2004 · Sacramento, Ca

Moves

a registration end followed by a registration begin elsewhere

Foundations Investment Advisors LLC to Award Financial Group
left May 29, 2026, registered Jun 1, 2026 (3 days) · RIA to a state-registered adviser
Cambridge Investment Research Advisors, Inc. to Foundations Investment Advisors LLC
left Oct 3, 2024, registered Oct 7, 2024 (4 days) · Affiliated broker-dealer or bank to independent RIA
The Retirement Group, LLC to Cambridge Investment Research Advisors, Inc.
left Aug 23, 2016, registered May 2, 2016 (-113 days) · Other
On Investment Management Co to The Retirement Group, LLC
left Dec 9, 2014, registered Jan 14, 2015 (36 days) · Other
Ameritas Advisory Services to On Investment Management Co
left Nov 17, 2006, registered Apr 1, 2008 (501 days) · Other
Fdx Advisors, Inc. to Ameritas Advisory Services
left Jan 26, 2004, registered May 12, 2005 (472 days) · Other

Signals

Brent Allen Ward left Foundations Investment Advisors Llc for Award Financial Group (registered 2026-06-01)
May 29, 2026 · Advisor changed firm · fact
Brent Allen Ward left Cambridge Investment Research Advisors, Inc. for Foundations Investment Advisors Llc (registered 2024-10-07)
Oct 3, 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: STATE REGISTEREDderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address