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
Joseph Daniel Gay
Feed of 09/15/2026
Also filed as Joseph Gay
At current firm
8 y
since Jan 29, 2018
In the industry
27 y
since Sep 25, 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
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Capital Investment Advisory Services, LLC BD affiliated currentsince Jan 29, 2018 · Wilmington, Nc
- Cetera Investment Advisers LLC BD affiliatedMar 17, 2017 to Dec 11, 2017 · Wilmington, Nc
- Securities America Advisors, Inc. formerOct 13, 2014 to Mar 20, 2017 · Wilmington, Nc
- Wells Fargo Advisors wirehouseJun 7, 2013 to Sep 24, 2014 · Wilmington, Nc
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAug 9, 2002 to Jun 11, 2013 · Wilmington, Nc
Moves
a registration end followed by a registration begin elsewhere
- Cetera Investment Advisers LLC to Capital Investment Advisory Services, LLCleft Dec 11, 2017, registered Jan 29, 2018 (49 days) · Other
- Securities America Advisors, Inc. to Cetera Investment Advisers LLCleft Mar 20, 2017, registered Mar 17, 2017 (-3 days) · Other · moved with a team
- Wells Fargo Advisors to Securities America Advisors, Inc.left Sep 24, 2014, registered Oct 13, 2014 (19 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Wells Fargo Advisorsleft Jun 11, 2013, registered Jun 7, 2013 (-4 days) · Wirehouse to wirehouse
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address