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
Joseph Mark Duea
Feed of 09/14/2026
Also filed as Joseph Mark Duea
At current firm
1 y
since Mar 31, 2025
In the industry
15 y
since Nov 1, 2010 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Strategic Advisers LLC national BD currentsince Mar 31, 2025 · Chicago, Il
- Fidelity Personal And Workplace Advisors formerAug 17, 2023 to Mar 31, 2025 · Chicago, Il
- W&S Brokerage Services, Inc. BD affiliatedOct 29, 2021 to May 11, 2023 · Rosemont, Il
- Thrivent Advisor Network, LLC BD affiliatedAug 5, 2020 to Oct 14, 2021 · Orland Park, Il
- Thrivent Investment Management Inc. BD affiliatedJul 29, 2013 to Jul 29, 2020 · Downers Grove, Il
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to Strategic Advisers LLCleft Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- W&S Brokerage Services, Inc. to Fidelity Personal And Workplace Advisorsleft May 11, 2023, registered Aug 17, 2023 (98 days) · Affiliated broker-dealer or bank to another
- Thrivent Advisor Network, LLC to W&S Brokerage Services, Inc.left Oct 14, 2021, registered Oct 29, 2021 (15 days) · Affiliated broker-dealer or bank to another
- Thrivent Investment Management Inc. to Thrivent Advisor Network, LLCleft Jul 29, 2020, registered Aug 5, 2020 (7 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
- Joseph Mark Duea left W&S Brokerage Services, Inc. for Fidelity Personal And Workplace Advisors (registered 2023-08-17)May 11, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address