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

Lori Marceil Barone

Silver Oak Securities, Inc.BD affiliatedBurr Ridge, Ildual registrantIAPD 2988502

Certified Financial Planner

Feed of 09/14/2026

Also filed as Lori Gervais

At current firm

0 y

since Oct 28, 2025

In the industry

29 y

since Jan 1, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Silver Oak Securities, Inc. BD affiliated current
since Oct 28, 2025 · Burr Ridge, Il
Osaic Wealth, Inc. BD affiliated
Jun 14, 2024 to Nov 12, 2025 · Burr Ridge, Il
Securities America Advisors, Inc. former
Sep 18, 2020 to Jun 14, 2024 · Burr Ridge, Il
Householder Group Estate & Retirement Specialists former
Nov 19, 2013 to Nov 20, 2013 · Burr Ridge, Il
Ssn Advisory, Inc. former
Oct 28, 2013 to Sep 18, 2020 · Burr Ridge, Il
Householder Group Financial Advisors, LLC former
Jan 6, 2010 to Nov 20, 2013 · Burr Ridge, Il
Sagepoint Financial, Inc. former
Oct 31, 2008 to Jan 7, 2010 · Oak Lawn, Il
American General Securities Incorporated unclassified
Jul 29, 2003 to Oct 31, 2008 · Oak Lawn, Il

Moves

a registration end followed by a registration begin elsewhere

Osaic Wealth, Inc. to Silver Oak Securities, Inc.
left Nov 12, 2025, registered Oct 28, 2025 (-15 days) · Affiliated broker-dealer or bank to another
Securities America Advisors, Inc. to Osaic Wealth, Inc.
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
Ssn Advisory, Inc. to Householder Group Estate & Retirement Specialists
left Sep 18, 2020, registered Nov 19, 2013 (-2495 days) · Other
Householder Group Financial Advisors, LLC to Ssn Advisory, Inc.
left Nov 20, 2013, registered Oct 28, 2013 (-23 days) · Other
Householder Group Estate & Retirement Specialists to Securities America Advisors, Inc.
left Nov 20, 2013, registered Sep 18, 2020 (2494 days) · Other
Sagepoint Financial, Inc. to Householder Group Financial Advisors, LLC
left Jan 7, 2010, registered Jan 6, 2010 (-1 days) · Other
American General Securities Incorporated to Sagepoint Financial, Inc.
left Oct 31, 2008, registered Oct 31, 2008 (0 days) · corporate re-registration, not a move

Signals

Lori Marceil Barone left Osaic Wealth, Inc. for Silver Oak Securities, Inc. (registered 2025-10-28)
Nov 12, 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address