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
Joseph Ray Duca
Feed of 09/14/2026
Also filed as Joe Ray Duca
At current firm
1 y
since Feb 18, 2025
In the industry
20 y
since Apr 10, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Commonwealth Financial Network national BD currentsince Feb 18, 2025 · Livermore, Ca
- 7 Streets Financial, LLC independent RIAApr 22, 2016 to Dec 31, 2025 · San Ramon, Ca
- Blueprint Wealth Partners, LLC unclassifiedJan 6, 2014 to Aug 1, 2016 · San Ramon, Ca
- LPL Financial LLC BD affiliatedAug 8, 2011 to Oct 28, 2015 · San Ramon, Ca
- Securities America Advisors, Inc. formerAug 11, 2006 to Aug 9, 2011 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- 7 Streets Financial, LLC to Commonwealth Financial Networkleft Dec 31, 2025, registered Feb 18, 2025 (-316 days) · RIA to affiliated broker-dealer or bank · moved with a team
- Blueprint Wealth Partners, LLC to 7 Streets Financial, LLCleft Aug 1, 2016, registered Apr 22, 2016 (-101 days) · Other · moved with a team
- LPL Financial LLC to Blueprint Wealth Partners, LLCleft Oct 28, 2015, registered Jan 6, 2014 (-660 days) · Other · moved with a team
- Securities America Advisors, Inc. to LPL Financial LLCleft Aug 9, 2011, registered Aug 8, 2011 (-1 days) · Other
Signals
- Joseph Ray Duca left 7 Streets Financial, Llc for Commonwealth Financial Network (registered 2025-02-18)Dec 31, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address