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

S•••• S••••••

C•••••• S••••• • C••• I•••national BDOakland, Cadual registrantIAPD 2699975

Feed of 09/14/2026

Also filed as S•••• Leland S••••••

At current firm

0 y

since Apr 20, 2026

In the industry

28 y

since Oct 31, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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•••••• S••••• • C••• I••• national BD current
since Apr 20, 2026 · Oakland, Ca
S••••• W••••• A•••••••• I••• no RAUM
Aug 18, 2021 to Apr 20, 2026 · Phoenix, Az
S•••••••• F••••••••• I••• former
Nov 5, 2019 to May 5, 2021 · Scottsdale, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 19, 2015 to Nov 4, 2019 · Chandler, Az
C•••••• S••••• • C••• I••• national BD
Sep 25, 2009 to Mar 27, 2015 · Chicago, Il
S•••••••• A••••••• L•• national BD
May 15, 2009 to Aug 19, 2009 · Salt Lake City, Ut

Moves

a registration end followed by a registration begin elsewhere

S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••
left Apr 20, 2026, registered Apr 20, 2026 (0 days) · Other · moved with a team
S•••••••• F••••••••• I••• to S••••• W••••• A•••••••• I•••
left May 5, 2021, registered Aug 18, 2021 (105 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• F••••••••• I•••
left Nov 4, 2019, registered Nov 5, 2019 (1 days) · Wirehouse to affiliated broker-dealer or bank
C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 27, 2015, registered Jun 19, 2015 (84 days) · Affiliated broker-dealer or bank to wirehouse
S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••
left Aug 19, 2009, registered Sep 25, 2009 (37 days) · Affiliated broker-dealer or bank to another

Signals

S•••• S•••••• left S••••• W••••• A•••••••• I••• for C•••••• S••••• • C••• I••• (registered 2026-04-20)
Apr 20, 2026 · 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: National broker-dealer RIAderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address