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.
Feed of 09/14/2026
At current firm
1 y
since Jul 17, 2025
In the industry
41 y
since Apr 15, 1985 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Cwm, LLC BD affiliated currentsince Jul 17, 2025 · Seneca, Sc
- Crescent Financial Advisors formerApr 12, 2010 to Mar 30, 2026 · Seneca, Sc
- Eps Advisors formerJan 27, 2010 to Apr 30, 2010 · Seneca, Sc
- Erisa Plan Services Inc formerApr 7, 2009 to Jan 27, 2010 · Anderson, Sc
- UBS Financial Services Inc. wirehouseDec 16, 2004 to Aug 26, 2008 · Greenville, Sc
Moves
a registration end followed by a registration begin elsewhere
- Crescent Financial Advisors to Cwm, LLCleft Mar 30, 2026, registered Jul 17, 2025 (-256 days) · RIA to affiliated broker-dealer or bank · moved with a team
- Eps Advisors to Crescent Financial Advisorsleft Apr 30, 2010, registered Apr 12, 2010 (-18 days) · Other
- Erisa Plan Services Inc to Eps Advisorsleft Jan 27, 2010, registered Jan 27, 2010 (0 days) · Other
- UBS Financial Services Inc. to Erisa Plan Services Incleft Aug 26, 2008, registered Apr 7, 2009 (224 days) · Other
Signals
- Jan Sture Fredman left Crescent Financial Advisors for Cwm, Llc (registered 2025-07-17)Mar 30, 2026 · 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address