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
14 y
since Jul 17, 2012
In the industry
39 y
since Sep 11, 1987 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Afs Investments state registered currentsince Jul 17, 2012 · Turlock, Ca
- Mutual Advisors, LLC BD affiliatedJul 1, 2013 to May 23, 2016 · Orangevale, Ca
- Mutual Securities, Inc. formerDec 15, 2011 to Jul 8, 2013 · Westlake Village, Ca
- Capital Region Financial Group, LLC formerNov 12, 2010 to Jan 31, 2013 · Folsom, Ca
- Wealth Design Group unclassifiedMay 31, 2005 to Nov 9, 2006 · Sacramento, Ca
- Nfp Advisor Services, LLC formerJun 21, 2001 to Mar 31, 2011 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- Mutual Advisors, LLC to no registered destinationleft May 23, 2016 · Departure, no registered destination
- Mutual Securities, Inc. to Afs Investmentsleft Jul 8, 2013, registered Jul 17, 2012 (-356 days) · Other
- Capital Region Financial Group, LLC to Mutual Securities, Inc.left Jan 31, 2013, registered Dec 15, 2011 (-413 days) · Other
- Nfp Advisor Services, LLC to Wealth Design Groupleft Mar 31, 2011, registered May 31, 2005 (-2130 days) · Other
- Wealth Design Group to Capital Region Financial Group, LLCleft Nov 9, 2006, registered Nov 12, 2010 (1464 days) · Other
Signals
No dated event on this person.
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
- STATE REGISTEREDderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address