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 09/14/2026
At current firm
5 y
since Oct 20, 2020
In the industry
25 y
since Oct 3, 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
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
- Seia BD affiliated currentsince Oct 20, 2020 · Los Angeles, Ca
- Osaic Wealth, Inc. BD affiliatedAug 14, 2020 to Oct 16, 2020 · Los Angeles, Ca
- Osaic Wealth, Inc. BD affiliatedAug 5, 2019 to Aug 4, 2020 · Scottsdale, Az
- First Allied Advisory Services, Inc. formerJun 10, 2019 to Jul 25, 2019 · Faifield, Nj
- Invest Financial Corporation formerAug 18, 2014 to Jul 25, 2017 · Basking Ridge, Nj
Moves
a registration end followed by a registration begin elsewhere
- Osaic Wealth, Inc. to Seialeft Oct 16, 2020, registered Oct 20, 2020 (4 days) · Affiliated broker-dealer or bank to independent RIA
- First Allied Advisory Services, Inc. to Osaic Wealth, Inc.left Jul 25, 2019, registered Aug 5, 2019 (11 days) · Affiliated broker-dealer or bank to another
- Invest Financial Corporation to First Allied Advisory Services, Inc.left Jul 25, 2017, registered Jun 10, 2019 (685 days) · Other
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address