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

Raymond Zong

Global Wealth Management, LLCstate registeredLansdale, PaIA-onlyIAPD 2989049

Feed of 09/14/2026

Also filed as Raymond Zong

At current firm

2 y

since May 10, 2024

In the industry

28 y

since Jul 10, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Global Wealth Management, LLC state registered current
since May 10, 2024 · Lansdale, Pa
Ni Advisors state registered
Jul 26, 2022 to Jan 12, 2024 · Milpitas, Ca
Npa Asset Management, LLC BD affiliated
Jan 5, 2018 to Jul 27, 2020 · Landsdale, Pa
Npa Asset Management, LLC BD affiliated
Jun 9, 2015 to Dec 31, 2017 · Fair Lawn, Nj
Kovack Advisors, Inc. BD affiliated
Nov 30, 2012 to Jun 5, 2015 · Lansdale, Pa
Private Advisor Group, LLC BD affiliated
May 22, 2012 to Oct 22, 2012 · Lansdale, Pa
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Aug 18, 2006 to May 22, 2012 · Philadelphia, Pa
UBS Financial Services Inc. wirehouse
Dec 20, 2002 to Sep 5, 2006 · Philadelphia, Pa
Morgan Stanley Dw Inc. unclassified
Jun 4, 2002 to Dec 10, 2002 · Lawrenceville, Nj

Moves

a registration end followed by a registration begin elsewhere

Ni Advisors to Global Wealth Management, LLC
left Jan 12, 2024, registered May 10, 2024 (119 days) · Other
Npa Asset Management, LLC to Ni Advisors
left Jul 27, 2020, registered Jul 26, 2022 (729 days) · Affiliated broker-dealer or bank to a state-registered adviser
Kovack Advisors, Inc. to Npa Asset Management, LLC
left Jun 5, 2015, registered Jun 9, 2015 (4 days) · Other
Private Advisor Group, LLC to Kovack Advisors, Inc.
left Oct 22, 2012, registered Nov 30, 2012 (39 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Private Advisor Group, LLC
left May 22, 2012, registered May 22, 2012 (0 days) · Other
UBS Financial Services Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Sep 5, 2006, registered Aug 18, 2006 (-18 days) · Wirehouse to wirehouse
Morgan Stanley Dw Inc. to UBS Financial Services Inc.
left Dec 10, 2002, registered Dec 20, 2002 (10 days) · Other

Signals

Raymond Zong left Ni Advisors for Global Wealth Management, Llc (registered 2024-05-10)
Jan 12, 2024 · 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: STATE REGISTEREDderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address