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.
Registered advisor
Cindy Ann Carpenter
Feed of 09/14/2026
Also filed as Cindy A Russell
At current firm
4 y
since Mar 7, 2022
In the industry
21 y
since Jul 1, 2005 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- Vanguard Advisers, Inc. BD affiliated currentsince Mar 7, 2022 · Scottsdale, Az
- Matson Money, Inc. mixed wealthJun 21, 2019 to Feb 3, 2022 · Scottsdale, Az
- J.P. Morgan Securities LLC wirehouseNov 22, 2016 to Feb 5, 2019 · Phoenix, Az
- Commonwealth Financial Network national BDSep 13, 2013 to Oct 24, 2016 · Phoenix, Az
- National Planning Corporation ("Npc Of America" In Fl & Ny) formerJan 30, 2006 to Mar 26, 2008 · Long Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- Matson Money, Inc. to Vanguard Advisers, Inc.left Feb 3, 2022, registered Mar 7, 2022 (32 days) · RIA to affiliated broker-dealer or bank
- J.P. Morgan Securities LLC to Matson Money, Inc.left Feb 5, 2019, registered Jun 21, 2019 (136 days) · Wirehouse to independent RIA
- Commonwealth Financial Network to J.P. Morgan Securities LLCleft Oct 24, 2016, registered Nov 22, 2016 (29 days) · Affiliated broker-dealer or bank to wirehouse
- National Planning Corporation ("Npc Of America" In Fl & Ny) to Commonwealth Financial Networkleft Mar 26, 2008, registered Sep 13, 2013 (1997 days) · Other
Signals
- Cindy Ann Carpenter left Matson Money, Inc. for Vanguard Advisers, Inc. (registered 2022-03-07)Feb 3, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address