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
Richard Daniel Gregory
Feed of 09/14/2026
Also filed as Richard Daniel Gregory
At current firm
2 y
since Oct 4, 2023
In the industry
29 y
since Nov 1, 1996 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Cambridge Investment Research Advisors, Inc. BD affiliated currentsince Oct 4, 2023 · Decatur, Al
- Oak Tree Financial Services, LLC formerJan 26, 2018 to Oct 2, 2023 · Huntsville, Al
- LPL Financial LLC BD affiliatedJul 7, 2016 to Dec 14, 2017 · Huntsville, Al
- Private Advisor Group, LLC BD affiliatedOct 9, 2012 to Jul 1, 2016 · Huntsville, Al
- Wells Fargo Advisors wirehouseMar 7, 2008 to Sep 17, 2012 · Huntsville, Al
- Morgan Keegan & Company, LLC formerApr 10, 1999 to Mar 12, 2008 · Decatur, Al
Moves
a registration end followed by a registration begin elsewhere
- Oak Tree Financial Services, LLC to Cambridge Investment Research Advisors, Inc.left Oct 2, 2023, registered Oct 4, 2023 (2 days) · RIA to affiliated broker-dealer or bank
- LPL Financial LLC to Oak Tree Financial Services, LLCleft Dec 14, 2017, registered Jan 26, 2018 (43 days) · RIA to RIA
- Private Advisor Group, LLC to LPL Financial LLCleft Jul 1, 2016, registered Jul 7, 2016 (6 days) · Other
- Wells Fargo Advisors to Private Advisor Group, LLCleft Sep 17, 2012, registered Oct 9, 2012 (22 days) · Other
- Morgan Keegan & Company, LLC to Wells Fargo Advisorsleft Mar 12, 2008, registered Mar 7, 2008 (-5 days) · Other
Signals
- Richard Daniel Gregory left Oak Tree Financial Services, Llc for Cambridge Investment Research Advisors, Inc. (registered 2023-10-04)Oct 2, 2023 · 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address