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
Also filed as Shana Jean Owen
At current firm
6 y
since Oct 18, 2019
In the industry
22 y
since Mar 8, 2004 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
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
- Cwm, LLC BD affiliated currentsince Oct 18, 2019 · Las Vegas, Nv
- Lakeside Wealth Management Group, LLC formerMay 17, 2018 to Mar 26, 2020 · Las Vegas, Nv
- The Wealth Consulting Group independent RIAOct 23, 2014 to Jun 5, 2018 · Las Vegas, Nv
- New England Securities Corporation formerJun 17, 2008 to Nov 13, 2014 · Phoenix, Az
- MML Investors Services, LLC BD affiliatedJun 15, 2004 to Jul 3, 2008 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- Lakeside Wealth Management Group, LLC to Cwm, LLCleft Mar 26, 2020, registered Oct 18, 2019 (-160 days) · RIA to affiliated broker-dealer or bank
- The Wealth Consulting Group to Lakeside Wealth Management Group, LLCleft Jun 5, 2018, registered May 17, 2018 (-19 days) · RIA to RIA
- New England Securities Corporation to The Wealth Consulting Groupleft Nov 13, 2014, registered Oct 23, 2014 (-21 days) · Other
- MML Investors Services, LLC to New England Securities Corporationleft Jul 3, 2008, registered Jun 17, 2008 (-16 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address