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
Shahriar Faraji
Feed of 09/14/2026
Also filed as Steve Faraji
At current firm
2 y
since Sep 3, 2024
In the industry
28 y
since Mar 9, 1998 (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
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Sep 3, 2024 · Lathrup Village, Mi
- Td Ameritrade Investment Management, LLC formerMay 8, 2019 to Dec 20, 2019 · Novi, Mi
- Td Ameritrade, Inc. formerMay 8, 2019 to Dec 20, 2019 · Novi, Mi
- Old Mutual Capital formerDec 6, 2007 to Feb 26, 2008 · Denver, Co
- LPL Financial LLC BD affiliatedMay 1, 2003 to May 30, 2006 · Aurora, Co
- Cuna Brokerage Services, Inc. formerJul 11, 2002 to May 2, 2003 · Waverly, Ia
Moves
a registration end followed by a registration begin elsewhere
- Td Ameritrade Investment Management, LLC to LPL Financial LLCleft Dec 20, 2019, registered Sep 3, 2024 (1719 days) · RIA to affiliated broker-dealer or bank
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Dec 20, 2019, registered May 8, 2019 (-226 days) · channel change inside one enterprise, not a move
- Old Mutual Capital to Td Ameritrade, Inc.left Feb 26, 2008, registered May 8, 2019 (4089 days) · Other
- LPL Financial LLC to Old Mutual Capitalleft May 30, 2006, registered Dec 6, 2007 (555 days) · Other
- Cuna Brokerage Services, Inc. to LPL Financial LLCleft May 2, 2003, registered May 1, 2003 (-1 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