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
10 y
since Oct 16, 2015
In the industry
32 y
since Jun 16, 1994 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- Ale LLC state registered currentsince Oct 16, 2015 · Pleasant Hill, Ca
- Mutual Advisors, LLC BD affiliatedJul 1, 2013 to Jul 8, 2013 · Casper, Wy
- Mutual Securities, Inc. formerJan 15, 2013 to Jul 2, 2013 · Daly City, Ca
- Poplar Global Wealth Management LLC formerOct 29, 2012 to Nov 27, 2015 · Daly City, Ca
- Wells Fargo Advisors wirehouseJun 6, 2008 to Sep 4, 2012 · San Francisco, Ca
- UBS Financial Services Inc. wirehouseDec 19, 2003 to Jun 20, 2008 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- Poplar Global Wealth Management LLC to Mutual Securities, Inc.left Nov 27, 2015, registered Jan 15, 2013 (-1046 days) · Other
- Mutual Advisors, LLC to Ale LLCleft Jul 8, 2013, registered Oct 16, 2015 (830 days) · Other
- Mutual Securities, Inc. to Mutual Advisors, LLCleft Jul 2, 2013, registered Jul 1, 2013 (-1 days) · Other
- Wells Fargo Advisors to Poplar Global Wealth Management LLCleft Sep 4, 2012, registered Oct 29, 2012 (55 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- UBS Financial Services Inc. to Wells Fargo Advisorsleft Jun 20, 2008, registered Jun 6, 2008 (-14 days) · Wirehouse to wirehouse
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address