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.
Feed of 09/14/2026
At current firm
1 y
since May 14, 2025
In the industry
28 y
since Feb 27, 1998 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- Mariner BD affiliated currentsince May 14, 2025 · Ballwin, Mo
- Amundi Asset Management US, Inc. formerMar 24, 2021 to Apr 25, 2025 · Boston, Ma
- Pnc Capital Advisors LLC otherMay 23, 2013 to Feb 25, 2021 · Clayton, Mo
- Argent Capital Management LLC independent RIANov 13, 2007 to Apr 2, 2012 · Clayton, Mo
- Charles Schwab & Co., Inc. national BDMay 10, 2001 to Mar 9, 2007 · Clayton, Mo
Moves
a registration end followed by a registration begin elsewhere
- Amundi Asset Management US, Inc. to Marinerleft Apr 25, 2025, registered May 14, 2025 (19 days) · Other
- Pnc Capital Advisors LLC to Amundi Asset Management US, Inc.left Feb 25, 2021, registered Mar 24, 2021 (27 days) · Other
- Argent Capital Management LLC to Pnc Capital Advisors LLCleft Apr 2, 2012, registered May 23, 2013 (416 days) · Other
- Charles Schwab & Co., Inc. to Argent Capital Management LLCleft Mar 9, 2007, registered Nov 13, 2007 (249 days) · Other
Signals
- Dustin C Gaj left Amundi Asset Management Us, Inc. for Mariner (registered 2025-05-14)Apr 25, 2025 · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address