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•• L•• B••••••

C••••• I••••••••• A••••••• L••BD affiliatedSuffolk, Vadual registrantIAPD 2601648

Feed of 09/14/2026

Also filed as Amy Tate

At current firm

3 y

since Jun 29, 2023

In the industry

18 y

since Nov 2, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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••••••••• A••••••• L•• BD affiliated current
since Jun 29, 2023 · Suffolk, Va
C••••• A••••••• L•• former
Aug 15, 2022 to Sep 26, 2022 · El Segundo, Ca
V••• F•••••••• A•••••••• I••• BD affiliated
Apr 28, 2017 to Jun 9, 2021 · Suffolk, Va
V••• F•••••••• A•••••••• I••• BD affiliated
Oct 18, 2011 to Sep 12, 2016 · Virginia Beach, Va
Q•• F•••••••• L•• unclassified
Jan 11, 2008 to Feb 11, 2011 · Omaha, Ne

Moves

a registration end followed by a registration begin elsewhere

C••••• A••••••• L•• to C••••• I••••••••• A••••••• L••
left Sep 26, 2022, registered Jun 29, 2023 (276 days) · Affiliated broker-dealer or bank to another
V••• F•••••••• A•••••••• I••• to C••••• A••••••• L••
left Jun 9, 2021, registered Aug 15, 2022 (432 days) · Affiliated broker-dealer or bank to another
Q•• F•••••••• L•• to V••• F•••••••• A•••••••• I•••
left Feb 11, 2011, registered Oct 18, 2011 (249 days) · Other

Signals

A•• L•• B•••••• left C••••• A••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)
Sep 26, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address