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.

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Registered advisor

C•••• B••• N•••••

R•••••••• S•••••••independent RIASan Francisco, Ca dual registrantIAPD 1091886

Feed of 09/15/2026

At current firm

0 y

since Oct 9, 2025

In the industry

43 y

since Mar 11, 1983 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••••• S••••••• independent RIA current
since Oct 9, 2025 · South Kingstown, Ri
H•••••••• A•••••••• L•• BD affiliated
Apr 17, 2015 to Sep 30, 2025 · Providence, Ri
O••••••••• • C•• I••• BD affiliated
Apr 16, 2009 to Apr 20, 2015 · Providence, Ri
C•••••••• G••••• M•••••• I••• BD affiliated
May 10, 2005 to May 5, 2009 · Providence, Ri

Moves

a registration end followed by a registration begin elsewhere

H•••••••• A•••••••• L•• to R•••••••• S•••••••
left Sep 30, 2025, registered Oct 9, 2025 (9 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
O••••••••• • C•• I••• to H•••••••• A•••••••• L••
left Apr 20, 2015, registered Apr 17, 2015 (-3 days) · Other
C•••••••• G••••• M•••••• I••• to O••••••••• • C•• I•••
left May 5, 2009, registered Apr 16, 2009 (-19 days) · Other

Signals

C•••• B••• N••••• left H•••••••• A•••••••• L•• for R•••••••• S••••••• (registered 2025-10-09)
Sep 30, 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: Independent wealth managerderived
Years in industry: 43derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address