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•••••• A•••••• B••••••••

W•••• F•••• A•••••••wirehouseMission Viejo, Ca dual registrantIAPD 2803141

Feed of 09/14/2026

Also filed as Tony Battaglia

At current firm

4 y

since Apr 26, 2022

In the industry

29 y

since Oct 25, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

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 Apr 26, 2022 · Irvine, Ca
R•••••• J•••• • A••••••••• I••• national BD
Feb 12, 2018 to May 3, 2022 · Santa Barbara, Ca
M••••• S•••••• wirehouse
Oct 9, 2015 to Feb 8, 2018 · Pasadena, Ca
J••• M••••• S••••••••• L•• wirehouse
Nov 6, 2013 to Oct 7, 2015 · Santa Clarita, Ca
C•••••• W••••• • C•• former
Nov 4, 2013 to Nov 14, 2013 · Encino, Ca
C••••••• W••••• • C•• former
Mar 21, 2011 to Nov 4, 2013 · El Segundo, Ca
W•••• F•••• A••••••• wirehouse
Jun 1, 2010 to Mar 21, 2011 · Riverside, Ca
M••••• S•••••• wirehouse
Jun 1, 2009 to Jun 21, 2010 · Claremont, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Sep 16, 1999 to Jun 1, 2009 · Clarmont, Ca

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••
left May 3, 2022, registered Apr 26, 2022 (-7 days) · Affiliated broker-dealer or bank to wirehouse
M••••• S•••••• to R•••••• J•••• • A••••••••• I•••
left Feb 8, 2018, registered Feb 12, 2018 (4 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to M••••• S••••••
left Oct 7, 2015, registered Oct 9, 2015 (2 days) · Wirehouse to wirehouse
C•••••• W••••• • C•• to J••• M••••• S••••••••• L••
left Nov 14, 2013, registered Nov 6, 2013 (-8 days) · Other
C••••••• W••••• • C•• to C•••••• W••••• • C••
left Nov 4, 2013, registered Nov 4, 2013 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to C••••••• W••••• • C••
left Mar 21, 2011, registered Mar 21, 2011 (0 days) · Other
M••••• S•••••• to W•••• F•••• A•••••••
left Jun 21, 2010, registered Jun 1, 2010 (-20 days) · Wirehouse to wirehouse
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

C•••••• A•••••• B•••••••• left R•••••• J•••• • A••••••••• I••• for W•••• F•••• A••••••• (registered 2022-04-26)
May 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: Wirehousederived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address