DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/14/2026
At current firm
1 y
since Jul 15, 2025
In the industry
17 y
since Dec 11, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••• independent RIA currentsince Jul 15, 2025 · New York, Ny
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedOct 18, 2021 to Jul 10, 2025 · Alamo, Ca
- W•••• F•••• A••••••• wirehouseAug 30, 2019 to Oct 28, 2021 · Walnut Creek, Ca
- M••••• S•••••• wirehouseJun 2, 2016 to Sep 3, 2019 · Walnut Creek, Ca
- C•••• A•••• M••••••••• unclassifiedMar 10, 2009 to Jun 30, 2016 · Palo Alto, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••left Jul 10, 2025, registered Jul 15, 2025 (5 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 28, 2021, registered Oct 18, 2021 (-10 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Sep 3, 2019, registered Aug 30, 2019 (-4 days) · Wirehouse to wirehouse · moved with a team
- C•••• A•••• M••••••••• to M••••• S••••••left Jun 30, 2016, registered Jun 2, 2016 (-28 days) · Other
Signals
- L•• E••• L••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for Savvy (registered 2025-07-15)Jul 10, 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address