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.

Former SEC-registered adviser

Aw Securities

Former SEC-registered adviserFolsom, CaliforniaCRD 103747SEC 801-69038IAPD
Legal name Hanson Mcclain Retirement Network, LLC
Latest filing Jan 17, 2025
First filing on the tape Mar 26, 2012 · 29 filings
SEC status approved since Apr 17, 2008
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM: $0
HNW client RAUM$0 as of Jan 17, 2025
Mar 21, 2018$0 then
State-registered IARs (5.B.3)3 as of Jan 17, 2025
Mar 26, 20120 then
Employees (5.A)10 as of Jan 17, 2025
Mar 25, 201348 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 7 to 3
Practice profile
derived from the filing of Jan 17, 2025; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-57%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Barry Yale Greenberg · Chief Legal Counselcontrol
    since 06/2021 · owns less than 5%
  • Gary Lawson Grigsby · President, Chief Compliance Officercontrol
    since 08/2021 · owns less than 5%
  • Scott Thomas Hanson · Ceocontrol
    since 07/2017 · owns less than 5%
  • Kristian Leigh Taylor · Vice President- Operationscontrol
    since 01/2022 · owns less than 5%
  • Daniel Stewart Beaton · Finop
    since 07/2017 · owns less than 5%
Entity owners
  • 2781807 Ontario Limited · Owner
    indirect · owns 75% or more of Otpp/Afg, LLC
  • Afg Intermediate, L.P. · Owner
    indirect · owns 75% or more of Allworth Financial Group, L.P.
  • Afg Parent Gp, LLC · Other General Partners
    indirect · owns F of Afg Intermediate, L.P.
  • Allworth Financial Holdings, LLC · Owner
    indirect · owns 75% or more of Afg Intermediate, L.P.
  • Ontario Teacher'S Pension Plan Board · Owner
    indirect · owns 75% or more of 2781807 Ontario Limited
  • Otpp/Afg, LLC · Owner
    indirect · owns 25% to 50% of Allworth Financial Holdings, LLC
  • Allworth Financial Group, L.P. · General Partner
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list Aw Securities as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Folsom, Ca · principal000
Houston, Tx000
Santa Rosa, Ca000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · unset to 0.0
    Mar 22, 2024 to Jan 17, 2025
  • BD registered reps · 7 to 5
    Mar 22, 2024 to Jan 17, 2025
  • Employees · 14 to 10
    Mar 22, 2024 to Jan 17, 2025
  • Insurance-licensed employees · 7 to 3
    Mar 22, 2024 to Jan 17, 2025
  • State-registered IARs · 7 to 3
    Mar 22, 2024 to Jan 17, 2025
  • Discretionary RAUM · unset to 0.0
    Mar 22, 2024 to Jan 17, 2025
  • Non-discretionary RAUM · unset to 0.0
    Mar 22, 2024 to Jan 17, 2025
  • RAUM · unset to 0.0
    Mar 22, 2024 to Jan 17, 2025
  • Advisory employees · 7 to 0
    Sep 10, 2021 to Mar 18, 2022
  • BD registered reps · 41 to 7
    Sep 10, 2021 to Mar 18, 2022
  • Employees · 218 to 14
    Sep 10, 2021 to Mar 18, 2022
  • Insurance-licensed employees · 133 to 7
    Sep 10, 2021 to Mar 18, 2022
  • State-registered IARs · 8 to 7
    Sep 10, 2021 to Mar 18, 2022
  • HQ city · SACRAMENTO to FOLSOM
    Mar 19, 2021 to Sep 10, 2021
  • Legal name · HANSON MCCLAIN RETIREMENT NETWORK, L.P. to HANSON MCCLAIN RETIREMENT NETWORK, LLC
    Mar 19, 2021 to Sep 10, 2021
  • Other offices · 2 to 0
    Mar 19, 2021 to Sep 10, 2021
  • BD registered reps · 36 to 41
    Mar 15, 2021 to Mar 19, 2021
  • Employees · 119 to 218
    Mar 15, 2021 to Mar 19, 2021
  • Insurance-licensed employees · 30 to 133
    Mar 15, 2021 to Mar 19, 2021
  • State-registered IARs · 7 to 8
    Mar 15, 2021 to Mar 19, 2021
  • Organization form · Limited Partnership to Limited Liability Company
    Mar 15, 2021 to Mar 19, 2021
  • Advisory employees · 0 to 7
    Apr 30, 2019 to Mar 19, 2020
  • BD registered reps · 30 to 36
    Apr 30, 2019 to Mar 19, 2020
  • Employees · 123 to 119
    Apr 30, 2019 to Mar 19, 2020
  • Insurance-licensed employees · 49 to 30
    Apr 30, 2019 to Mar 19, 2020
  • State-registered IARs · 9 to 7
    Apr 30, 2019 to Mar 19, 2020
  • Other offices · 4 to 2
    Apr 30, 2019 to Mar 19, 2020
  • Business name · HANSON MCCLAIN SECURITIES to AW SECURITIES
    Apr 30, 2019 to Apr 30, 2019
  • BD registered reps · 32 to 30
    Mar 21, 2018 to Mar 8, 2019
  • Employees · 70 to 123
    Mar 21, 2018 to Mar 8, 2019
  • Insurance-licensed employees · 30 to 49
    Mar 21, 2018 to Mar 8, 2019
  • State-registered IARs · 3 to 9
    Mar 21, 2018 to Mar 8, 2019
  • Related insurance company · false to true
    Mar 21, 2018 to Mar 8, 2019
  • BD registered reps · 34 to 32
    Nov 14, 2017 to Mar 21, 2018
  • Charity clients · unset to 0.0
    Nov 14, 2017 to Mar 21, 2018
  • Corporate clients · unset to 0.0
    Nov 14, 2017 to Mar 21, 2018
  • HNW clients · unset to 0.0
    Nov 14, 2017 to Mar 21, 2018
  • Individual clients · unset to 0.0
    Nov 14, 2017 to Mar 21, 2018
  • Pension plan clients · unset to 0.0
    Nov 14, 2017 to Mar 21, 2018
  • Pooled vehicle clients · unset to 0.0
    Nov 14, 2017 to Mar 21, 2018
Signals
14 dated events
  • Aw Securities no longer on the SEC adviser roster (last listed 2025-03-06)
    May 2, 2025 · Left the SEC roster · derived
  • Cheyenne Gene Walker left Aw Securities for Allworth Financial, L.P. (registered 2019-02-01)
    Mar 28, 2025 · Advisor changed firm · fact
  • Beau Daniel Mcguire no longer registered at Aw Securities; no later IA registration on IAPD
    Mar 28, 2025 · Advisor departure · fact
  • Daniel William Rausch left Aw Securities for Allworth Financial, L.P. (registered 2019-12-12)
    Mar 28, 2025 · Advisor changed firm · fact
  • Brady Brandt left Aw Securities for Allworth Financial, L.P. (registered 2024-05-29)
    Jan 21, 2025 · Advisor changed firm · fact
  • Patrick Carl Mcclain (Co-Ceo) no longer on Schedule A of Aw Securities (listed 2023-03-31, absent 2024-03-22)
    Mar 22, 2024 · Control person left · inference
  • Steven Thomas Burnett (President) no longer on Schedule A of Aw Securities (listed 2023-03-31, absent 2024-03-22)
    Mar 22, 2024 · Control person left · inference
  • William K. Biegler (Director Of Operations) no longer on Schedule A of Aw Securities (listed 2023-03-31, absent 2024-03-22)
    Mar 22, 2024 · Control person left · inference
  • Corey C Gamble (Chief Compliance Officer) no longer on Schedule A of Aw Securities (listed 2023-03-31, absent 2024-03-22)
    Mar 22, 2024 · Control person left · inference
  • Gary Lawson Grigsby (President, Chief Compliance Officer) appeared on Schedule A of Aw Securities
    Mar 22, 2024 · Control person joined · fact
  • Barry Yale Greenberg (Chief Legal Counsel) appeared on Schedule A of Aw Securities
    Mar 22, 2024 · Control person joined · fact
  • Kristian Leigh Taylor (Vice President- Operations) appeared on Schedule A of Aw Securities
    Mar 22, 2024 · Control person joined · fact
  • Andrew David Kessler left Aw Securities for Rfg Advisory, Llc (registered 2023-03-17)
    Mar 27, 2023 · Advisor changed firm · fact
  • Hanson Mcclain Securities reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Aug 1, 2017 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026