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.
Feed of 09/15/2026
At current firm
13 y
since May 10, 2013
In the industry
25 y
since Sep 19, 2000 (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
S66, 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
- Cwm, LLC BD affiliated currentsince May 10, 2013 · Omaha, Ne
- Cetera Advisor Networks LLC formerJan 17, 2017 to Apr 7, 2022 · The Woodlands, Tx
- Pinnacle Financial Group unclassifiedAug 25, 2010 to Oct 4, 2013 · Amarillo, Tx
- LPL Financial LLC BD affiliatedJul 2, 2009 to Oct 28, 2015 · The Woodlands, Tx
- Ameritas Advisory Services formerFeb 22, 2005 to Aug 3, 2009 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- Cetera Advisor Networks LLC to no registered destinationleft Apr 7, 2022 · Departure, no registered destination
- LPL Financial LLC to Pinnacle Financial Groupleft Oct 28, 2015, registered Aug 25, 2010 (-1890 days) · Other · moved with a team
- Pinnacle Financial Group to Cwm, LLCleft Oct 4, 2013, registered May 10, 2013 (-147 days) · Other
- Ameritas Advisory Services to LPL Financial LLCleft Aug 3, 2009, registered Jul 2, 2009 (-32 days) · Other
Signals
- Alan Lee Wright no longer registered at Cetera Advisor Networks Llc; no later IA registration on IAPDApr 7, 2022 · Advisor departure · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address