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

Shay W Scruggs

Arax Advisory PartnersBD affiliatedNew York, Ny dual registrantIAPD 4173046

Feed of 09/15/2026

At current firm

0 y

since Aug 19, 2026

In the industry

26 y

since Jul 3, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Arax Advisory Partners BD affiliated current
since Aug 19, 2026 · New York, Ny
Rockefeller Capital Management BD affiliated
Jun 5, 2020 to Jun 9, 2026 · Houston, Tx
UBS Financial Services Inc. wirehouse
May 2, 2014 to Jul 2, 2020 · Houston, Tx
Deutsche Bank Securities Inc. no RAUM
Jan 15, 2010 to May 13, 2014 · Houston, Tx
UBS Financial Services Inc. wirehouse
Jul 15, 2005 to Jan 25, 2010 · College Station, Tx
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jul 5, 2000 to Jul 19, 2005 · College Station, Tx

Moves

a registration end followed by a registration begin elsewhere

Rockefeller Capital Management to Arax Advisory Partners
left Jun 9, 2026, registered Aug 19, 2026 (71 days) · Affiliated broker-dealer or bank to another
UBS Financial Services Inc. to Rockefeller Capital Management
left Jul 2, 2020, registered Jun 5, 2020 (-27 days) · Wirehouse to affiliated broker-dealer or bank
Deutsche Bank Securities Inc. to UBS Financial Services Inc.
left May 13, 2014, registered May 2, 2014 (-11 days) · Other
UBS Financial Services Inc. to Deutsche Bank Securities Inc.
left Jan 25, 2010, registered Jan 15, 2010 (-10 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to UBS Financial Services Inc.
left Jul 19, 2005, registered Jul 15, 2005 (-4 days) · Wirehouse to wirehouse

Signals

Shay W Scruggs left Rockefeller Capital Management for Arax Advisory Partners (registered 2026-08-19)
Jun 9, 2026 · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address