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
Allen Warren Spain
Certified Financial Planner
Feed of 09/14/2026
Also filed as Allen Warren Spain
At current firm
3 y
since Apr 27, 2023
In the industry
28 y
since Oct 16, 1997 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- Nationwide Investment Advisors, LLC BD affiliated currentsince Apr 27, 2023 · Columbus, Oh
- Valic Financial Advisors, Inc. BD affiliatedFeb 22, 2018 to Jul 19, 2018 · Baton Rouge, La
- Cetera Investment Services LLC formerMay 14, 2013 to Jun 28, 2013 · St Cloud, Mn
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMar 15, 2006 to Sep 25, 2006 · Mandeville, La
Moves
a registration end followed by a registration begin elsewhere
- Valic Financial Advisors, Inc. to Nationwide Investment Advisors, LLCleft Jul 19, 2018, registered Apr 27, 2023 (1743 days) · Affiliated broker-dealer or bank to another
- Cetera Investment Services LLC to Valic Financial Advisors, Inc.left Jun 28, 2013, registered Feb 22, 2018 (1700 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Cetera Investment Services LLCleft Sep 25, 2006, registered May 14, 2013 (2423 days) · Other
Signals
No dated event on this person.
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address