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
Also filed as Sam Abraham Parail
At current firm
1 y
since Nov 6, 2024
In the industry
24 y
since Sep 12, 2002 (earliest exam, job or registration)
Prior registered firms
9
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
- The Fiduciary Alliance independent RIA currentsince Nov 6, 2024 · Seahurst, Wa
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNov 4, 2020 to Aug 1, 2024 · Seattle, Wa
- J.P. Morgan Securities LLC wirehouseJul 14, 2015 to Nov 16, 2020 · Seattle, Wa
- J.P. Morgan Securities LLC wirehouseApr 16, 2014 to Jun 17, 2015 · Burien, Wa
- J.P. Morgan Securities LLC wirehouseOct 1, 2012 to Apr 16, 2014 · Des Moines, Wa
- Chase Investment Services Corp. formerMay 14, 2010 to Oct 1, 2012 · Des Moines, Wa
- Ronald Blue & Co., LLC formerJun 18, 2008 to May 21, 2010 · Bothell, Wa
- Key Investment Services LLC BD affiliatedMar 16, 2006 to May 16, 2008 · Bellevue, Wa
- Ameriprise Financial Services, LLC national BDMar 12, 2003 to Mar 23, 2006 · Seattle, Wa
- New England Securities Corporation formerNov 7, 2002 to Feb 12, 2003 · Bellevue, Wa
Moves
a registration end followed by a registration begin elsewhere
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to The Fiduciary Allianceleft Aug 1, 2024, registered Nov 6, 2024 (97 days) · Wirehouse to independent RIA
- J.P. Morgan Securities LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Nov 16, 2020, registered Nov 4, 2020 (-12 days) · Wirehouse to wirehouse
- Chase Investment Services Corp. to J.P. Morgan Securities LLCleft Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- Ronald Blue & Co., LLC to Chase Investment Services Corp.left May 21, 2010, registered May 14, 2010 (-7 days) · Other
- Key Investment Services LLC to Ronald Blue & Co., LLCleft May 16, 2008, registered Jun 18, 2008 (33 days) · Other
- Ameriprise Financial Services, LLC to Key Investment Services LLCleft Mar 23, 2006, registered Mar 16, 2006 (-7 days) · Other
- New England Securities Corporation to Ameriprise Financial Services, LLCleft Feb 12, 2003, registered Mar 12, 2003 (28 days) · Other
Signals
- Sam A Parail left Merrill Lynch, Pierce, Fenner & Smith Incorporated for The Fiduciary Alliance (registered 2024-11-06)Aug 1, 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address