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

Dak H Spivey

Rockefeller Capital ManagementBD affiliatedLos Angeles, Ca dual registrantIAPD 6867499

Feed of 09/15/2026

Also filed as Dak Henry Spivey

At current firm

1 y

since Aug 6, 2025

In the industry

14 y

since Aug 1, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Rockefeller Capital Management BD affiliated current
since Aug 6, 2025 · Los Angeles, Ca
Provenio Capital independent RIA
May 8, 2025 to Aug 18, 2025 · Newport Beach, Ca
Thece Wealth Management former
Nov 7, 2024 to Dec 20, 2024 · Newport Beach, Ca
Corient independent RIA
Aug 10, 2023 to Nov 27, 2024 · Miami, Fl
Creative Planning Institutional Advisors, LLC institutional
Aug 10, 2022 to Jun 29, 2023 · Newport Beach, Ca
Morgan Stanley wirehouse
Jun 9, 2020 to May 18, 2022 · Burlingame, Ca
UBS Financial Services Inc. wirehouse
Jan 12, 2018 to May 26, 2020 · Austin, Tx

Moves

a registration end followed by a registration begin elsewhere

Provenio Capital to Rockefeller Capital Management
left Aug 18, 2025, registered Aug 6, 2025 (-12 days) · RIA to affiliated broker-dealer or bank
Thece Wealth Management to Provenio Capital
left Dec 20, 2024, registered May 8, 2025 (139 days) · Other
Corient to Thece Wealth Management
left Nov 27, 2024, registered Nov 7, 2024 (-20 days) · RIA to a newly registered adviser
Creative Planning Institutional Advisors, LLC to Corient
left Jun 29, 2023, registered Aug 10, 2023 (42 days) · Other
Morgan Stanley to Creative Planning Institutional Advisors, LLC
left May 18, 2022, registered Aug 10, 2022 (84 days) · Other
UBS Financial Services Inc. to Morgan Stanley
left May 26, 2020, registered Jun 9, 2020 (14 days) · Wirehouse to wirehouse · moved with a team

Signals

Dak H Spivey left Provenio Capital for Rockefeller Capital Management (registered 2025-08-06)
Aug 18, 2025 · Advisor changed firm · fact
Dak H Spivey left Thece Wealth Management for Provenio Capital (registered 2025-05-08)
Dec 20, 2024 · Advisor changed firm · fact
Dak H Spivey left Corient for Thece Wealth Management (registered 2024-11-07)
Nov 27, 2024 · Advisor changed firm · fact
Dak H Spivey left Creative Planning Institutional Advisors, Llc for Corient (registered 2023-08-10)
Jun 29, 2023 · Advisor changed firm · fact
Dak H Spivey left Morgan Stanley for Creative Planning Institutional Advisors, Llc (registered 2022-08-10)
May 18, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address