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
Deborah Ann Alice
Feed of 09/14/2026
Also filed as Deborah Ann Gregoria
At current firm
5 y
since Sep 8, 2021
In the industry
27 y
since Jun 3, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Stifel, Nicolaus & Company, Incorporated national BD currentsince Sep 8, 2021 · Traverse City, Mi
- Raymond James Financial Services Advisors, Inc BD affiliatedAug 3, 2020 to Sep 3, 2021 · Traverse City, Mi
- Wells Fargo Advisors wirehouseJun 7, 2018 to Aug 14, 2020 · Traverse City, Mi
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseFeb 25, 2000 to Aug 7, 2003 · Dearborn, Mi
Moves
a registration end followed by a registration begin elsewhere
- Raymond James Financial Services Advisors, Inc to Stifel, Nicolaus & Company, Incorporatedleft Sep 3, 2021, registered Sep 8, 2021 (5 days) · Affiliated broker-dealer or bank to another
- Wells Fargo Advisors to Raymond James Financial Services Advisors, Incleft Aug 14, 2020, registered Aug 3, 2020 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Wells Fargo Advisorsleft Aug 7, 2003, registered Jun 7, 2018 (5418 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address