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••• T••••• B••••

W•••• F•••• A•••••••wirehouseCardiff, Ca dual registrantIAPD 2763956

Feed of 09/14/2026

Also filed as C••• T B••••

At current firm

1 y

since Dec 4, 2024

In the industry

30 y

since Jul 12, 1996 (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

W•••• F•••• A••••••• wirehouse current
since Dec 4, 2024 · Charleston, Sc
A•••• C•••••• C•••• BD affiliated
Sep 9, 2021 to Dec 5, 2024 · Encinitas, Ca
L•• F•••••••• L•• BD affiliated
May 11, 2018 to Aug 17, 2021 · San Francisco, Ca
W•••• F•••• A••••••• wirehouse
Oct 22, 2014 to May 15, 2018 · San Diego, Ca
U•• F•••••••• S••••••• I••• wirehouse
Oct 11, 1999 to Jan 14, 2003 · Newport Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

A•••• C•••••• C•••• to W•••• F•••• A•••••••
left Dec 5, 2024, registered Dec 4, 2024 (-1 days) · Affiliated broker-dealer or bank to wirehouse
L•• F•••••••• L•• to A•••• C•••••• C••••
left Aug 17, 2021, registered Sep 9, 2021 (23 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to L•• F•••••••• L••
left May 15, 2018, registered May 11, 2018 (-4 days) · Wirehouse to independent RIA · moved with a team
U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
left Jan 14, 2003, registered Oct 22, 2014 (4299 days) · Wirehouse to wirehouse

Signals

C••• T••••• B•••• left A•••• C•••••• C•••• for W•••• F•••• A••••••• (registered 2024-12-04)
Dec 5, 2024 · 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: Wirehousederived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address