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
At current firm
0 y
since Dec 18, 2025
In the industry
23 y
since May 19, 2003 (earliest exam, job or registration)
Prior registered firms
9
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Tactive Advisors, LLC independent RIA currentsince Jan 12, 2026 · Peoria, Az
- Brookwood Investment Group independent RIA currentsince Dec 18, 2025 · Phoenix, Az
- Redwood Private Wealth formerDec 13, 2021 to Mar 31, 2025 · Phoenix, Az
- World Equity Group, Inc. BD affiliatedJan 7, 2020 to Aug 25, 2021 · Albuquerque, Nm
- Triumph Wealth Advisors, Inc. formerJun 27, 2019 to Jul 27, 2021 · Acworth, Ga
- Woodbury Financial Services, Inc. formerMar 1, 2019 to Jun 28, 2019 · Albuquerque, Nm
- Questar Asset Management, Inc. formerSep 11, 2017 to Mar 1, 2019 · Mesa, Az
- Gradient Wealth Management BD affiliatedNov 9, 2016 to Sep 12, 2017 · Arden Hills, Mn
- Cue Financial Group, Inc. formerOct 28, 2013 to Nov 17, 2016 · Scottsdale, Az
- Cetera Advisor Networks LLC formerJul 14, 2008 to Dec 13, 2013 · Livermore, Ca
- UBS Financial Services Inc. wirehouseMay 19, 2003 to Sep 15, 2003 · Albuquerque, Nm
Moves
a registration end followed by a registration begin elsewhere
- Redwood Private Wealth to Brookwood Investment Groupleft Mar 31, 2025, registered Dec 18, 2025 (262 days) · corporate re-registration, not a move
- World Equity Group, Inc. to Redwood Private Wealthleft Aug 25, 2021, registered Dec 13, 2021 (110 days) · Affiliated broker-dealer or bank to a newly registered adviser
- Triumph Wealth Advisors, Inc. to World Equity Group, Inc.left Jul 27, 2021, registered Jan 7, 2020 (-567 days) · RIA to affiliated broker-dealer or bank
- Woodbury Financial Services, Inc. to Triumph Wealth Advisors, Inc.left Jun 28, 2019, registered Jun 27, 2019 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- Questar Asset Management, Inc. to Woodbury Financial Services, Inc.left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
- Gradient Wealth Management to Questar Asset Management, Inc.left Sep 12, 2017, registered Sep 11, 2017 (-1 days) · Other
- Cue Financial Group, Inc. to Gradient Wealth Managementleft Nov 17, 2016, registered Nov 9, 2016 (-8 days) · Other
- Cetera Advisor Networks LLC to Cue Financial Group, Inc.left Dec 13, 2013, registered Oct 28, 2013 (-46 days) · Other
- UBS Financial Services Inc. to Cetera Advisor Networks LLCleft Sep 15, 2003, registered Jul 14, 2008 (1764 days) · Other
Signals
No dated event on this person.
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address