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

A••••• W•••• P•••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedWalnut Creek, Ca IA-onlyIAPD 2116906

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as W•••• P•••••

At current firm

1 y

since Jun 23, 2025

In the industry

35 y

since Jan 29, 1991 (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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Jun 23, 2025 · Walnut Creek, Ca
P•••• W••••• A••••••• L•• independent RIA
Jul 30, 2024 to Dec 17, 2025 · Windermere, Fl
A••••••• F•••••••• A•••••••• L•• BD affiliated
May 27, 2016 to Jun 30, 2017 · Pleasant Hill, Ca
M•• F•••••••• S•••••••• I••• former
May 19, 2014 to May 18, 2016 · Walnut Creek, Ca
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Mar 26, 2004 to Jun 13, 2014 · San Francisco, Ca
I••••••••• W••••• A•••••••• I••• unclassified
Apr 30, 2002 to Dec 4, 2009 · Topeka, Ks
L••••• A••••••• S•••••••• I••• unclassified
Mar 27, 2000 to Mar 29, 2004 · Topeka, Ks

Moves

a registration end followed by a registration begin elsewhere

P•••• W••••• A••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 17, 2025, registered Jun 23, 2025 (-177 days) · RIA to affiliated broker-dealer or bank
A••••••• F•••••••• A•••••••• L•• to P•••• W••••• A••••••• L••
left Jun 30, 2017, registered Jul 30, 2024 (2587 days) · Other
M•• F•••••••• S•••••••• I••• to A••••••• F•••••••• A•••••••• L••
left May 18, 2016, registered May 27, 2016 (9 days) · Other
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to M•• F•••••••• S•••••••• I•••
left Jun 13, 2014, registered May 19, 2014 (-25 days) · Other
I••••••••• W••••• A•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Dec 4, 2009, registered Mar 26, 2004 (-2079 days) · Other
L••••• A••••••• S•••••••• I••• to I••••••••• W••••• A•••••••• I•••
left Mar 29, 2004, registered Apr 30, 2002 (-699 days) · Other

Signals

A••••• W•••• P••••• left P•••• W••••• A••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-06-23)
Dec 17, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address