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

E••• M••••• D••

C••••• I••••••••• A••••••• L••BD affiliatedScottsdale, Azdual registrantIAPD 2903627

Feed of 09/14/2026

At current firm

3 y

since Jun 29, 2023

In the industry

13 y

since Jul 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 29, 2023 · Scottsdale, Az
S••••• F•••••••• G•••• I•• former
Mar 4, 2020 to May 20, 2021 · Scottsdale, Az
L•• F•••••••• L•• BD affiliated
Oct 9, 2019 to Mar 13, 2020 · Scottsdale, Az
J••• M••••• S••••••••• L•• wirehouse
Dec 7, 2018 to Sep 11, 2019 · Goodyear, Az
E•••••• F•••••••• E•••••• independent RIA
Dec 15, 2015 to May 24, 2018 · Phoenix, Az
C••••• A•••••• N••••••• L•• former
Jul 22, 2013 to Oct 1, 2015 · Chippewa Falls, Wi

Moves

a registration end followed by a registration begin elsewhere

S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••
left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
L•• F•••••••• L•• to S••••• F•••••••• G•••• I••
left Mar 13, 2020, registered Mar 4, 2020 (-9 days) · Affiliated broker-dealer or bank to another · moved with a team
J••• M••••• S••••••••• L•• to L•• F•••••••• L••
left Sep 11, 2019, registered Oct 9, 2019 (28 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• F•••••••• E•••••• to J••• M••••• S••••••••• L••
left May 24, 2018, registered Dec 7, 2018 (197 days) · RIA to wirehouse
C••••• A•••••• N••••••• L•• to E•••••• F•••••••• E••••••
left Oct 1, 2015, registered Dec 15, 2015 (75 days) · Other

Signals

No dated event on this person.

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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address