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
5 y
since Mar 2, 2021
In the industry
26 y
since Jan 1, 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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Fireplace Financial Inc state registered currentsince Mar 2, 2021 · Murrieta, Ca
- Stonex Advisors Inc. BD affiliatedDec 6, 2019 to Mar 3, 2021 · Birmingham, Al
- Quest Capital Strategies, Inc. formerJan 7, 2008 to Dec 6, 2019 · Laguna Hills, Ca
- Osaic Fs, Inc. formerJun 2, 2005 to Jul 31, 2007 · La Habra, Ca
- Gold Coast Securities, Inc. formerMay 26, 2004 to Jun 17, 2005 · La Habra, Ca
Moves
a registration end followed by a registration begin elsewhere
- Stonex Advisors Inc. to Fireplace Financial Incleft Mar 3, 2021, registered Mar 2, 2021 (-1 days) · Affiliated broker-dealer or bank to a state-registered adviser
- Quest Capital Strategies, Inc. to Stonex Advisors Inc.left Dec 6, 2019, registered Dec 6, 2019 (0 days) · corporate re-registration, not a move
- Osaic Fs, Inc. to Quest Capital Strategies, Inc.left Jul 31, 2007, registered Jan 7, 2008 (160 days) · Other
- Gold Coast Securities, Inc. to Osaic Fs, Inc.left Jun 17, 2005, registered Jun 2, 2005 (-15 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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address