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

C•••• C•••••

O•••• W•••••• I•••BD affiliatedScottsdale, Az dual registrantIAPD 2550954

Feed of 09/15/2026

At current firm

0 y

since Feb 23, 2026

In the industry

31 y

since Sep 5, 1995 (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

O•••• W•••••• I••• BD affiliated current
since Feb 23, 2026 · Scottsdale, Az
B• R•••• W••••• A•••••••• I••• BD affiliated
Dec 9, 2020 to Mar 4, 2025 · Boca Raton, Fl
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 6, 2018 to Oct 23, 2018 · Winter Park, Fl
S••••••••• A•••••• A•••••••• I••• former
Jul 29, 2016 to Aug 16, 2017 · Altamonte Springs, Fl
C••• B•••••••• S•••••••• I••• former
Jul 1, 2015 to Jun 2, 2016 · New York, Ny
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Jan 6, 2012 to Jun 22, 2015 · New York, Ny
I••••••••• A••••••• I••••••••• I••• unclassified
Aug 8, 2008 to Jan 6, 2012 · Carlsbad, Ca
C•••• I••••••••• S••••••• C•••• former
Aug 16, 2007 to Jan 8, 2008 · New York, Ny
C••• F•••••••• S•••••••• L••• former
Nov 16, 2006 to May 21, 2007 · Pasadena, Ca

Moves

a registration end followed by a registration begin elsewhere

B• R•••• W••••• A•••••••• I••• to O•••• W•••••• I•••
left Mar 4, 2025, registered Feb 23, 2026 (356 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to B• R•••• W••••• A•••••••• I•••
left Oct 23, 2018, registered Dec 9, 2020 (778 days) · Affiliated broker-dealer or bank to another
S••••••••• A•••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••
left Aug 16, 2017, registered Mar 6, 2018 (202 days) · Other
C••• B•••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Jun 2, 2016, registered Jul 29, 2016 (57 days) · Other
T••••••••• F•••••••• A•••••••• L•• to C••• B•••••••• S•••••••• I•••
left Jun 22, 2015, registered Jul 1, 2015 (9 days) · Other
I••••••••• A••••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••
left Jan 6, 2012, registered Jan 6, 2012 (0 days) · corporate re-registration, not a move
C•••• I••••••••• S••••••• C•••• to I••••••••• A••••••• I••••••••• I•••
left Jan 8, 2008, registered Aug 8, 2008 (213 days) · Other
C••• F•••••••• S•••••••• L••• to C•••• I••••••••• S••••••• C••••
left May 21, 2007, registered Aug 16, 2007 (87 days) · Other

Signals

C•••• C••••• left B• R•••• W••••• A•••••••• I••• for O•••• W•••••• I••• (registered 2026-02-23)
Mar 4, 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: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address