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
Anthony Michael D'Auria
Feed of 09/15/2026
Also filed as Anthony Michael Dauria
At current firm
1 y
since Jul 25, 2025
In the industry
28 y
since Mar 20, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- Osaic Institutions, Inc. BD affiliated currentsince Jul 25, 2025 · West Orange, Nj
- Ameriprise Financial Services, LLC national BDJun 17, 2020 to Aug 11, 2025 · West Orange, Nj
- Osaic Wealth, Inc. BD affiliatedNov 2, 2006 to Jun 19, 2020 · West Orange, Nj
- Banc Of America Investment Services, Inc. unclassifiedOct 20, 2004 to Jan 10, 2006 · Yonkers, Ny
- Quick & Reilly, Inc. unclassifiedSep 29, 2004 to Oct 20, 2004 · White Plains, Ny
Moves
a registration end followed by a registration begin elsewhere
- Ameriprise Financial Services, LLC to Osaic Institutions, Inc.left Aug 11, 2025, registered Jul 25, 2025 (-17 days) · Affiliated broker-dealer or bank to another · moved with a team
- Osaic Wealth, Inc. to Ameriprise Financial Services, LLCleft Jun 19, 2020, registered Jun 17, 2020 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- Banc Of America Investment Services, Inc. to Osaic Wealth, Inc.left Jan 10, 2006, registered Nov 2, 2006 (296 days) · Other
- Quick & Reilly, Inc. to Banc Of America Investment Services, Inc.left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
Signals
- Anthony Michael D'Auria left Ameriprise Financial Services, Llc for Osaic Institutions, Inc. (registered 2025-07-25)Aug 11, 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