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

First Allied Securities, Inc.

Former SEC-registered adviserSan Diego, CaliforniaCRD 32444SEC 801-47805IAPD
Latest filing Mar 28, 2018
First filing on the tape Nov 15, 2011 · 49 filings
RAUM
n/a
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
1
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$0 as of Apr 1, 2013
Mar 30, 2012$2.4B then
HNW client RAUM: $0
State-registered IARs (5.B.3)1 as of Mar 28, 2018
Apr 1, 201314 then
Employees (5.A)1 as of Mar 28, 2018
Apr 1, 201318 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Mar 28, 2018; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • controlled by a public reporting company (10.A)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
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
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Adam Nicholas Antoniades · Directorcontrol
    since 08/2010 · owns less than 5%
  • Donna Bartlett · Chief Compliance Officercontrol
    since 01/1995 · owns less than 5%
  • Luanne Marie Graham · Ria Chief Compliance Officercontrol
    since 02/2007 · owns less than 5%
  • Brett Lamar Harrison · Ceocontrol
    since 08/2016 · owns less than 5%
  • Garrett James Merrill · Head Of Business Unitcontrol
    since 08/2009 · owns less than 5%
  • Stanley Robert Smiley · Vpcontrol
    since 08/2016 · owns less than 5%
  • Jesus Manuel Beltran · Vp Supervision
    since 06/2013 · owns less than 5%
  • Santiago Avila Bretado · Fin Op/ Chief Financial Officer
    since 04/2016 · owns less than 5%
  • Shannon Rose Condra · Vp
    since 08/2016 · owns less than 5%
  • Rivers Herrington · Regulatory Affairs
    since 03/2015 · owns less than 5%
  • Liza Guse Marquardt · Trading Principal
    since 04/1997 · owns less than 5%
  • Gregory Alan Olson · Asst. Secretary
    since 08/2016 · owns less than 5%
  • Jan William Rogers · Aml Compliance Officer
    since 07/2006 · owns less than 5%
  • Mary Frances Schott · President
    since 03/2018 · owns less than 5%
  • Mark Paul Shelson · Treasurer
    since 08/2016 · owns less than 5%
Entity owners
  • Fas Holdings, Inc. · Sole Shareholder
    direct · owns 75% or more
  • Aretec Group Inc. · Owner
    indirect · owns 75% or more of Rcs Capital Holdings, LLC
  • First Allied Holdings Inc. · Shareholder
    indirect · owns 75% or more of Fas Holdings Inc.
  • Rcs Capital Holdings LLC · Shareholder
    indirect · owns 75% or more of First Allied Holdings, Inc.
Related persons
Schedule D 7.A
Advisers that list First Allied Securities, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • BD registered reps · 2 to 1
    Dec 19, 2017 to Mar 28, 2018
  • Pooled vehicle clients · unset to 0.0
    Dec 19, 2017 to Mar 28, 2018
  • Employees · 2 to 1
    Dec 19, 2017 to Mar 28, 2018
  • Insurance-licensed employees · 2 to 1
    Dec 19, 2017 to Mar 28, 2018
  • State-registered IARs · 2 to 1
    Dec 19, 2017 to Mar 28, 2018
  • Other offices · unset to 0.0
    Sep 11, 2017 to Dec 19, 2017
  • HNW RAUM · unset to 0.0
    Sep 11, 2017 to Dec 19, 2017
  • Individual RAUM · unset to 0.0
    Sep 11, 2017 to Dec 19, 2017
  • Pension RAUM · unset to 0.0
    Sep 11, 2017 to Dec 19, 2017
  • Pooled vehicle RAUM · unset to 0.0
    Sep 11, 2017 to Dec 19, 2017
  • BD registered reps · 14 to 2
    Feb 17, 2017 to Mar 31, 2017
  • Employees · 14 to 2
    Feb 17, 2017 to Mar 31, 2017
  • Insurance-licensed employees · 11 to 2
    Feb 17, 2017 to Mar 31, 2017
  • State-registered IARs · 11 to 2
    Feb 17, 2017 to Mar 31, 2017
  • Related bank · true to false
    Jun 24, 2015 to Mar 8, 2016
  • Related bank · false to true
    Mar 30, 2015 to Mar 31, 2015
  • Advisory employees · 8 to 0
    Jan 30, 2015 to Mar 30, 2015
  • BD registered reps · 18 to 14
    Jan 30, 2015 to Mar 30, 2015
  • Employees · 18 to 14
    Jan 30, 2015 to Mar 30, 2015
  • Insurance-licensed employees · 14 to 11
    Jan 30, 2015 to Mar 30, 2015
  • State-registered IARs · 14 to 11
    Jan 30, 2015 to Mar 30, 2015
  • Accounts · 0.0 to unset
    Nov 11, 2013 to Mar 28, 2014
  • Assets in custody · 0.0 to unset
    Nov 11, 2013 to Mar 28, 2014
  • Discretionary RAUM · 0.0 to unset
    Nov 11, 2013 to Mar 28, 2014
  • Non-discretionary RAUM · 0.0 to unset
    Nov 11, 2013 to Mar 28, 2014
  • RAUM · 0.0 to unset
    Nov 11, 2013 to Mar 28, 2014
  • Advisory employees · 5 to 8
    Feb 14, 2013 to Apr 1, 2013
  • Insurance-licensed employees · 13 to 14
    Feb 14, 2013 to Apr 1, 2013
  • State-registered IARs · 13 to 14
    Feb 14, 2013 to Apr 1, 2013
  • Advisory employees · unset to 5.0
    Oct 2, 2012 to Nov 21, 2012
  • BD registered reps · unset to 18.0
    Oct 2, 2012 to Nov 21, 2012
  • Employees · unset to 18.0
    Oct 2, 2012 to Nov 21, 2012
  • State-registered IARs · unset to 13.0
    Oct 2, 2012 to Nov 21, 2012
  • Accounts · 12,582 to 0
    Apr 30, 2012 to Sep 28, 2012
  • Advisory activities · 5 to 1
    Apr 30, 2012 to Sep 28, 2012
  • Commission compensation · true to false
    Apr 30, 2012 to Sep 28, 2012
  • Custody of client assets · true to false
    Apr 30, 2012 to Sep 28, 2012
  • Insurance-licensed employees · 49 to 13
    Apr 30, 2012 to Sep 28, 2012
  • Financial planning clients · 26-50 to unset
    Apr 30, 2012 to Sep 28, 2012
  • Discretionary RAUM · $1.8B to $0
    Apr 30, 2012 to Sep 28, 2012
Signals
1 dated events
  • 2 advisors left Sturniolo Joseph S & Associates Inc (Denver, CO) for First Allied Securities, Inc. on the same day
    Feb 27, 2023 · Team lift-out · derived
Across DFX
shared identifiers only, never a name match
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