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

P•••• C•••••• S••••

W•••• F•••• A•••••••wirehousePhoenix, Az dual registrantIAPD 1775585

Feed of 09/14/2026

At current firm

2 y

since May 31, 2024

In the industry

34 y

since Nov 8, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since May 31, 2024 · Phoenix, Az
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 8, 2019 to Jun 14, 2024 · Phoenix, Az
S•••••• N••••••• • C••••••• I••••••••• national BD
Nov 6, 2018 to Nov 15, 2019 · Phoenix, Az
C•••••• C••••••• L•• unclassified
Oct 1, 2013 to Mar 26, 2019 · Phoenix, Az
M•••• • C••••• I•• BD affiliated
Feb 24, 2009 to Nov 30, 2018 · Phoenix, Az
U•• F•••••••• S••••••• I••• wirehouse
Sep 12, 2006 to Mar 17, 2009 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••
left Jun 14, 2024, registered May 31, 2024 (-14 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
S•••••• N••••••• • C••••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
left Nov 15, 2019, registered Nov 8, 2019 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
C•••••• C••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••
left Mar 26, 2019, registered Nov 6, 2018 (-140 days) · Other
M•••• • C••••• I•• to C•••••• C••••••• L••
left Nov 30, 2018, registered Oct 1, 2013 (-1886 days) · Other
U•• F•••••••• S••••••• I••• to M•••• • C••••• I••
left Mar 17, 2009, registered Feb 24, 2009 (-21 days) · Other

Signals

P•••• C•••••• S•••• left A••••••••• F•••••••• S•••••••• L•• for W•••• F•••• A••••••• (registered 2024-05-31)
Jun 14, 2024 · 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: Wirehousederived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address