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 09/15/2026
At current firm
0 y
since Feb 17, 2026
In the industry
15 y
since Nov 11, 2010 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- Integrity Alliance, LLC BD affiliated currentsince Feb 17, 2026 · Urbandale, Ia
- Capital Analysts BD affiliatedOct 5, 2022 to Feb 10, 2026 · Dover, Nh
- Lincoln Investment independent RIAOct 5, 2022 to Feb 10, 2026 · Fremont, Nh
- Iams Wealth Management, LLC independent RIAAug 5, 2021 to Oct 6, 2022 · Omaha, Ne
- Osaic Wealth, Inc. BD affiliatedNov 2, 2018 to Sep 17, 2019 · Barrington, Nh
- Signator Investors, Inc. formerMar 28, 2018 to Nov 2, 2018 · Barrington, Nh
- Signator Investors, Inc. formerDec 3, 2012 to Dec 31, 2016 · Andover, Ma
- Msi Financial Services, Inc. formerSep 28, 2011 to Sep 12, 2012 · Exeter, Nh
Moves
a registration end followed by a registration begin elsewhere
- Capital Analysts to Integrity Alliance, LLCleft Feb 10, 2026, registered Feb 17, 2026 (7 days) · Affiliated broker-dealer or bank to another · moved with a team
- Lincoln Investment to Capital Analystsleft Feb 10, 2026, registered Oct 5, 2022 (-1224 days) · RIA to affiliated broker-dealer or bank · moved with a team
- Iams Wealth Management, LLC to Lincoln Investmentleft Oct 6, 2022, registered Oct 5, 2022 (-1 days) · RIA to RIA
- Osaic Wealth, Inc. to Iams Wealth Management, LLCleft Sep 17, 2019, registered Aug 5, 2021 (688 days) · Affiliated broker-dealer or bank to independent RIA
- Signator Investors, Inc. to Osaic Wealth, Inc.left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- Msi Financial Services, Inc. to Signator Investors, Inc.left Sep 12, 2012, registered Dec 3, 2012 (82 days) · Other
Signals
- Noah Behrend left Lincoln Investment for Integrity Alliance, Llc (registered 2026-02-17)Feb 10, 2026 · Advisor changed firm · fact
- Noah Behrend left Capital Analysts for Lincoln Investment (registered 2022-10-05)Feb 10, 2026 · Advisor changed firm · fact
- Noah Behrend left Iams Wealth Management, Llc for Capital Analysts (registered 2022-10-05)Oct 6, 2022 · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address