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
2 y
since May 10, 2024
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
S66, S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Newday independent RIA currentsince May 10, 2024 · Southbury, Ct
- RBC Capital Markets, LLC national BDAug 4, 2015 to Apr 10, 2024 · Lafayette, Ca
- Blackrock Fund Advisors asset managerJan 26, 2009 to Sep 6, 2013 · San Francisco, Ca
- Assembly Wealth independent RIAJan 1, 2008 to Jun 6, 2008 · San Francisco, Ca
- Fisher Investments independent RIAJun 26, 2006 to Aug 29, 2006 · Plano, Tx
Moves
a registration end followed by a registration begin elsewhere
- RBC Capital Markets, LLC to Newdayleft Apr 10, 2024, registered May 10, 2024 (30 days) · Other
- Blackrock Fund Advisors to RBC Capital Markets, LLCleft Sep 6, 2013, registered Aug 4, 2015 (697 days) · Other
- Assembly Wealth to Blackrock Fund Advisorsleft Jun 6, 2008, registered Jan 26, 2009 (234 days) · Other
- Fisher Investments to Assembly Wealthleft Aug 29, 2006, registered Jan 1, 2008 (490 days) · Other
Signals
- Brian Gregory Fairhurst left Rbc Capital Markets, Llc for Newday (registered 2024-05-10)Apr 10, 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address