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

Cory Underwood

Osaic Advisory Services, LLCBD affiliatedAtlanta, Ga IA-onlyIAPD 4793739

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/15/2026

Also filed as Cory Underwood

At current firm

2 y

since Feb 26, 2024

In the industry

22 y

since Jun 16, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Osaic Advisory Services, LLC BD affiliated current
since Feb 26, 2024 · Highlands Ranch, Co
B. Riley Wealth Advisors, Inc. BD affiliated
Dec 4, 2020 to Feb 28, 2024 · Highlands Ranch, Co
Rubinbrown Advisors LLC independent RIA
Apr 12, 2016 to Dec 4, 2020 · Denver, Co
Cue Financial Group, Inc. former
Jan 27, 2012 to Apr 12, 2016 · Scottsdale, Az
New England Securities Corporation former
Aug 17, 2010 to Jan 31, 2012 · Phoenix, Az
Bancwest Investment Services, Inc. (Bwis) former
Oct 22, 2009 to Jul 20, 2010 · Rio Rancho, Nm
Cue Financial Group, Inc. former
Jun 24, 2008 to Sep 30, 2009 · Albuquerque, Nm
Cpa Wealth Advisors LLC unclassified
Feb 23, 2006 to Jun 13, 2008 · Albuquerque, Nm
Citigroup Global Markets Inc. BD affiliated
Jul 23, 2004 to Apr 4, 2005 · Santa Fe, Nm

Moves

a registration end followed by a registration begin elsewhere

B. Riley Wealth Advisors, Inc. to Osaic Advisory Services, LLC
left Feb 28, 2024, registered Feb 26, 2024 (-2 days) · Affiliated broker-dealer or bank to another
Rubinbrown Advisors LLC to B. Riley Wealth Advisors, Inc.
left Dec 4, 2020, registered Dec 4, 2020 (0 days) · RIA to affiliated broker-dealer or bank
Cue Financial Group, Inc. to Rubinbrown Advisors LLC
left Apr 12, 2016, registered Apr 12, 2016 (0 days) · Other
New England Securities Corporation to Cue Financial Group, Inc.
left Jan 31, 2012, registered Jan 27, 2012 (-4 days) · Other
Bancwest Investment Services, Inc. (Bwis) to New England Securities Corporation
left Jul 20, 2010, registered Aug 17, 2010 (28 days) · Other
Cue Financial Group, Inc. to Bancwest Investment Services, Inc. (Bwis)
left Sep 30, 2009, registered Oct 22, 2009 (22 days) · Other
Cpa Wealth Advisors LLC to Cue Financial Group, Inc.
left Jun 13, 2008, registered Jun 24, 2008 (11 days) · Other
Citigroup Global Markets Inc. to Cpa Wealth Advisors LLC
left Apr 4, 2005, registered Feb 23, 2006 (325 days) · Other

Signals

Cory Underwood left B. Riley Wealth Advisors, Inc. for Osaic Advisory Services, Llc (registered 2024-02-26)
Feb 28, 2024 · 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: 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