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
David Paul Heroux
Feed of 09/15/2026
At current firm
11 y
since Jun 4, 2015
In the industry
22 y
since Jan 20, 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
- Wealthspire Retirement Advisory institutional currentsince Jun 4, 2015 · Aliso Viejo, Ca
- Independent Financial Partners BD affiliatedMar 14, 2014 to Jun 10, 2015 · Santa Ana, Ca
- LPL Financial LLC BD affiliatedMay 16, 2013 to May 21, 2015 · Santa Ana, Ca
- Questar Asset Management, Inc. formerJul 13, 2006 to May 29, 2013 · Simi Valley, Ca
- Usallianz Securities, Inc. unclassifiedMay 14, 2004 to Jun 16, 2006 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- Independent Financial Partners to Wealthspire Retirement Advisoryleft Jun 10, 2015, registered Jun 4, 2015 (-6 days) · Other
- LPL Financial LLC to Independent Financial Partnersleft May 21, 2015, registered Mar 14, 2014 (-433 days) · Other
- Questar Asset Management, Inc. to LPL Financial LLCleft May 29, 2013, registered May 16, 2013 (-13 days) · Other
- Usallianz Securities, Inc. to Questar Asset Management, Inc.left Jun 16, 2006, registered Jul 13, 2006 (27 days) · corporate re-registration, not a move
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
- Institutional managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address