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

Homer Allen Braden

Osaic Wealth, Inc.BD affiliatedMadison, Wi dual registrantIAPD 4325343

Feed of 09/15/2026

At current firm

2 y

since Jan 19, 2024

In the industry

25 y

since Feb 15, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Osaic Wealth, Inc. BD affiliated current
since Jan 19, 2024 · Lafollette, Tn
Woodbury Financial Services, Inc. former
Sep 7, 2022 to Jan 19, 2024 · Sun Prairie, Wi
Cetera Investment Advisers LLC BD affiliated
Nov 12, 2020 to Sep 8, 2022 · Sun Prairie, Wi
First Allied Advisory Services, Inc. former
Jul 2, 2012 to Nov 12, 2020 · Chesterfield, Mo
First Allied Securities, Inc. former
May 17, 2011 to Jul 2, 2012 · San Diego, Ca
Harbour Investments, Inc. independent RIA
Jun 5, 2003 to May 19, 2011 · Sun Prairie, Wi

Moves

a registration end followed by a registration begin elsewhere

Woodbury Financial Services, Inc. to Osaic Wealth, Inc.
left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
Cetera Investment Advisers LLC to Woodbury Financial Services, Inc.
left Sep 8, 2022, registered Sep 7, 2022 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
First Allied Advisory Services, Inc. to Cetera Investment Advisers LLC
left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
First Allied Securities, Inc. to First Allied Advisory Services, Inc.
left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
Harbour Investments, Inc. to First Allied Securities, Inc.
left May 19, 2011, registered May 17, 2011 (-2 days) · Other

Signals

Homer Allen Braden left Cetera Investment Advisers Llc for Woodbury Financial Services, Inc. (registered 2022-09-07)
Sep 8, 2022 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address