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
At current firm
0 y
since Oct 28, 2025
In the industry
12 y
since Aug 8, 2014 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Mariner BD affiliated currentsince Oct 28, 2025 · Tulsa, Ok
- Dba Upal Or United Professionals Assoc. Ltd. state registeredOct 12, 2021 to Oct 28, 2025 · Tulsa, Ok
- Arvest Wealth Management independent RIASep 17, 2018 to Apr 28, 2020 · Tulsa, Ok
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseApr 4, 2016 to Nov 2, 2017 · Dallas, Tx
- Wells Fargo Advisors wirehouseAug 8, 2014 to Apr 19, 2016 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- Dba Upal Or United Professionals Assoc. Ltd. to Marinerleft Oct 28, 2025, registered Oct 28, 2025 (0 days) · Other
- Arvest Wealth Management to Dba Upal Or United Professionals Assoc. Ltd.left Apr 28, 2020, registered Oct 12, 2021 (532 days) · Affiliated broker-dealer or bank to a state-registered adviser
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Arvest Wealth Managementleft Nov 2, 2017, registered Sep 17, 2018 (319 days) · Wirehouse to affiliated broker-dealer or bank
- Wells Fargo Advisors to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Apr 19, 2016, registered Apr 4, 2016 (-15 days) · Wirehouse to wirehouse
Signals
- Chauncey Jordan Pickering left Dba Upal Or United Professionals Assoc. Ltd. for Mariner (registered 2025-10-28)Oct 28, 2025 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address