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 09/15/2026
Also filed as Marcelo Daniel Bernardo
At current firm
5 y
since Oct 19, 2020
In the industry
34 y
since Jul 14, 1992 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Cwm, LLC BD affiliated currentsince Oct 19, 2020 · Omaha, Ne
- Applied Financial Planning, Inc. state registeredDec 10, 2009 to Nov 3, 2020 · Irvine, Ca
- LPL Financial LLC BD affiliatedSep 12, 2008 to Oct 21, 2020 · Woodland Hills, Ca
- Citigroup Global Markets Inc. BD affiliatedMay 29, 2007 to Sep 26, 2008 · Fountain Valley, Ca
- Citicorp Investment Services unclassifiedApr 3, 2006 to May 29, 2007 · Santa Ana, Ca
- Cuna Brokerage Services, Inc. formerFeb 12, 2004 to Feb 23, 2006 · Westminster, Ca
- Wells Fargo Advisors wirehouseJan 16, 2001 to Jan 29, 2004 · Seal Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- Applied Financial Planning, Inc. to Cwm, LLCleft Nov 3, 2020, registered Oct 19, 2020 (-15 days) · Other · moved with a team
- LPL Financial LLC to Applied Financial Planning, Inc.left Oct 21, 2020, registered Dec 10, 2009 (-3968 days) · Affiliated broker-dealer or bank to a state-registered adviser · moved with a team
- Citigroup Global Markets Inc. to LPL Financial LLCleft Sep 26, 2008, registered Sep 12, 2008 (-14 days) · Other
- Citicorp Investment Services to Citigroup Global Markets Inc.left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- Cuna Brokerage Services, Inc. to Citicorp Investment Servicesleft Feb 23, 2006, registered Apr 3, 2006 (39 days) · Other
- Wells Fargo Advisors to Cuna Brokerage Services, Inc.left Jan 29, 2004, registered Feb 12, 2004 (14 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address