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
Alexis Schumann
Feed of 09/15/2026
Also filed as Alexis Veronica Schumann
At current firm
0 y
since Apr 27, 2026
In the industry
24 y
since Nov 12, 2001 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- Cambridge Investment Research Advisors, Inc. BD affiliated currentsince Apr 27, 2026 · Cave Creek, Az
- Next Financial Group, Inc. formerNov 4, 2025 to Dec 9, 2025 · Houston, Tx
- Cadaret Grant & Co Inc formerJun 24, 2024 to Dec 9, 2025 · Syracuse, Ny
- Fsc Securities Corporation formerJul 30, 2014 to Nov 3, 2023 · Atlanta, Ga
- Osaic Wealth, Inc. BD affiliatedJul 30, 2014 to Jun 27, 2024 · Scottsdale, Az
- Woodbury Financial Services, Inc. formerJul 30, 2014 to Jan 19, 2024 · Oakdale, Mn
- Sagepoint Financial, Inc. formerSep 4, 2012 to Sep 29, 2023 · Scottsdale, Az
- Householder Group Financial Advisors, LLC formerApr 26, 2012 to Aug 3, 2012 · Scottsdale, Az
- Sunamerica Securities, Inc. unclassifiedJul 5, 2002 to Sep 16, 2005 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- Cadaret Grant & Co Inc to Next Financial Group, Inc.left Dec 9, 2025, registered Nov 4, 2025 (-35 days) · Affiliated broker-dealer or bank to another
- Next Financial Group, Inc. to Cambridge Investment Research Advisors, Inc.left Dec 9, 2025, registered Apr 27, 2026 (139 days) · Affiliated broker-dealer or bank to another
- Osaic Wealth, Inc. to Cadaret Grant & Co Incleft Jun 27, 2024, registered Jun 24, 2024 (-3 days) · Affiliated broker-dealer or bank to another
- Woodbury Financial Services, Inc. to Osaic Wealth, Inc.left Jan 19, 2024, registered Jul 30, 2014 (-3460 days) · corporate re-registration, not a move
- Fsc Securities Corporation to Woodbury Financial Services, Inc.left Nov 3, 2023, registered Jul 30, 2014 (-3383 days) · channel change inside one enterprise, not a move · moved with a team
- Sagepoint Financial, Inc. to Fsc Securities Corporationleft Sep 29, 2023, registered Jul 30, 2014 (-3348 days) · channel change inside one enterprise, not a move
- Householder Group Financial Advisors, LLC to Sagepoint Financial, Inc.left Aug 3, 2012, registered Sep 4, 2012 (32 days) · Other
- Sunamerica Securities, Inc. to Householder Group Financial Advisors, LLCleft Sep 16, 2005, registered Apr 26, 2012 (2414 days) · Other
Signals
- Alexis Schumann left Next Financial Group, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2026-04-27)Dec 9, 2025 · Advisor changed firm · fact
- Alexis Schumann left Cadaret Grant & Co Inc for Next Financial Group, Inc. (registered 2025-11-04)Dec 9, 2025 · Advisor changed firm · fact
- Alexis Schumann left Osaic Wealth, Inc. for Cadaret Grant & Co Inc (registered 2024-06-24)Jun 27, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address