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

Emily Faulkner

Osaic Wealth, Inc.BD affiliatedChicago, Il dual registrantIAPD 7126408

Feed of 09/14/2026

Also filed as Emily Ann Faulkner

At current firm

0 y

since Jan 13, 2026

In the industry

13 y

since May 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Osaic Wealth, Inc. BD affiliated current
since Jan 13, 2026 · Summerville, Sc
Osaic Fa, Inc. former
Jan 10, 2024 to Jan 24, 2025 · Summerville, Sc
Heritage Wealth Management, LLC former
Jan 20, 2023 to Feb 10, 2023 · Phoenix, Az
Heritage Wealth Management, LLC former
Apr 6, 2022 to Dec 31, 2022 · Phoenix, Az
Commonwealth Financial Network national BD
Mar 3, 2021 to Mar 28, 2022 · Overland Park, Ks
Securian Financial Services, Inc. former
Nov 3, 2020 to Jan 15, 2021 · Overland Park, Ks

Moves

a registration end followed by a registration begin elsewhere

Osaic Fa, Inc. to Osaic Wealth, Inc.
left Jan 24, 2025, registered Jan 13, 2026 (354 days) · corporate re-registration, not a move
Heritage Wealth Management, LLC to Osaic Fa, Inc.
left Feb 10, 2023, registered Jan 10, 2024 (334 days) · RIA to affiliated broker-dealer or bank
Commonwealth Financial Network to Heritage Wealth Management, LLC
left Mar 28, 2022, registered Apr 6, 2022 (9 days) · Affiliated broker-dealer or bank to independent RIA
Securian Financial Services, Inc. to Commonwealth Financial Network
left Jan 15, 2021, registered Mar 3, 2021 (47 days) · Affiliated broker-dealer or bank to another

Signals

Emily Faulkner left Heritage Wealth Management, Llc for Osaic Fa, Inc. (registered 2024-01-10)
Feb 10, 2023 · Advisor changed firm · fact
Emily Faulkner left Commonwealth Financial Network for Heritage Wealth Management, Llc (registered 2022-04-06)
Mar 28, 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address