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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

R••• A•••• M•••••

E•••••••• A•••••••• L••national BDLas Vegas, Nv dual registrantIAPD 1999521

Feed of 09/15/2026

At current firm

4 y

since Aug 5, 2022

In the industry

36 y

since Nov 13, 1989 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••••• A•••••••• L•• national BD current
since Aug 5, 2022 · Las Vegas, Nv
A••••••• F•••••••• A•••••••• L•• BD affiliated
Sep 9, 2016 to Aug 10, 2022 · Cheyenne, Wy
I••••••••• C•••••• O• A••••••• I••• former
Feb 13, 2012 to Jun 28, 2016 · Cheyenne, Wy
V•••• F•••••••• A•••••••• I••• BD affiliated
Jan 14, 2011 to Feb 16, 2012 · Lakewood, Co
A••••••••• A••••••• L•• former
Jan 21, 2010 to Oct 22, 2010 · San Diego, Ca
U••• B•••••• I••••••••• I••• former
Dec 8, 2009 to Jan 15, 2010 · San Diego, Ca
C•••• I••••••••• S••••••• C•••• former
Apr 24, 2009 to Dec 2, 2009 · Chicago, Il
U••• B•••••• A•••••••• L•• BD affiliated
Nov 13, 2008 to Apr 6, 2009 · La Jolla, Ca
C••••••••• F•••••••• N•••••• national BD
Oct 11, 2004 to Nov 24, 2008 · Las Vegas, Nv
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
May 15, 2002 to Oct 14, 2004 · Las Vegas, Nv

Moves

a registration end followed by a registration begin elsewhere

A••••••• F•••••••• A•••••••• L•• to E•••••••• A•••••••• L••
left Aug 10, 2022, registered Aug 5, 2022 (-5 days) · Affiliated broker-dealer or bank to another
I••••••••• C•••••• O• A••••••• I••• to A••••••• F•••••••• A•••••••• L••
left Jun 28, 2016, registered Sep 9, 2016 (73 days) · Other
V•••• F•••••••• A•••••••• I••• to I••••••••• C•••••• O• A••••••• I•••
left Feb 16, 2012, registered Feb 13, 2012 (-3 days) · Other
A••••••••• A••••••• L•• to V•••• F•••••••• A•••••••• I•••
left Oct 22, 2010, registered Jan 14, 2011 (84 days) · Other
U••• B•••••• I••••••••• I••• to A••••••••• A••••••• L••
left Jan 15, 2010, registered Jan 21, 2010 (6 days) · Other
C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••
left Dec 2, 2009, registered Dec 8, 2009 (6 days) · Other
U••• B•••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••
left Apr 6, 2009, registered Apr 24, 2009 (18 days) · Other
C••••••••• F•••••••• N•••••• to U••• B•••••• A•••••••• L••
left Nov 24, 2008, registered Nov 13, 2008 (-11 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••••• F•••••••• N••••••
left Oct 14, 2004, registered Oct 11, 2004 (-3 days) · Other

Signals

R••• A•••• M••••• left A••••••• F•••••••• A•••••••• L•• for E•••••••• A•••••••• L•• (registered 2022-08-05)
Aug 10, 2022 · 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: National broker-dealer RIAderived
Years in industry: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address