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
David Warren Hoffmann
Certified Financial Planner
Feed of 09/14/2026
Also filed as David Warren Hoffmann
At current firm
6 y
since Jun 19, 2020
In the industry
28 y
since Oct 24, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
12
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
- Osaic Advisory Services, LLC BD affiliated currentsince Jun 19, 2020 · Atlanta, Ga
- H Financial Management independent RIAApr 23, 2019 to Sep 10, 2020 · Canonsburg, Pa
- D.B. Root & Company, LLC independent RIAOct 1, 2015 to May 13, 2019 · Pittsburgh, Pa
- Commonwealth Financial Network national BDMar 10, 2005 to Sep 30, 2015 · Pittsburgh, Pa
- D.B. Root & Company, Inc. unclassifiedJan 25, 2002 to Dec 31, 2010 · Pittsburgh, Pa
Moves
a registration end followed by a registration begin elsewhere
- H Financial Management to Osaic Advisory Services, LLCleft Sep 10, 2020, registered Jun 19, 2020 (-83 days) · RIA to affiliated broker-dealer or bank
- D.B. Root & Company, LLC to H Financial Managementleft May 13, 2019, registered Apr 23, 2019 (-20 days) · RIA to RIA
- Commonwealth Financial Network to D.B. Root & Company, LLCleft Sep 30, 2015, registered Oct 1, 2015 (1 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- D.B. Root & Company, Inc. to Commonwealth Financial Networkleft Dec 31, 2010, registered Mar 10, 2005 (-2122 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