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

A•• Z•••••

O•••• W•••••• I•••BD affiliatedPhoenix, Azdual registrantIAPD 2918400

Feed of 09/14/2026

At current firm

1 y

since Jun 24, 2025

In the industry

29 y

since Jul 15, 1997 (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

O•••• W•••••• I••• BD affiliated current
since Jun 24, 2025 · Phoenix, Az
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA
May 12, 2022 to May 28, 2025 · Scottsdale, Az
L•• F•••••••• L•• BD affiliated
Feb 10, 2022 to Jun 22, 2022 · Sacramento, Ca
C••••• A•••••• N••••••• L•• former
Aug 10, 2021 to Oct 8, 2021 · Phoenix, Az
V••• F•••••••• A•••••••• I••• BD affiliated
Oct 19, 2020 to Dec 14, 2021 · Scottsdale, Az
P•••• S••••••••• L•• no RAUM
Mar 13, 2019 to Oct 12, 2020 · Phoenix, Az
W•••••• • R••• former
Jul 16, 2013 to Jun 9, 2017 · Scottsdale, Az
V•••• F•••••••• A•••••••• I••• BD affiliated
Sep 17, 2008 to Dec 13, 2012 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to O•••• W•••••• I•••
left May 28, 2025, registered Jun 24, 2025 (27 days) · RIA to affiliated broker-dealer or bank
L•• F•••••••• L•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••
left Jun 22, 2022, registered May 12, 2022 (-41 days) · RIA to RIA
V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••
left Dec 14, 2021, registered Aug 10, 2021 (-126 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to L•• F•••••••• L••
left Oct 8, 2021, registered Feb 10, 2022 (125 days) · Affiliated broker-dealer or bank to another
P•••• S••••••••• L•• to V••• F•••••••• A•••••••• I•••
left Oct 12, 2020, registered Oct 19, 2020 (7 days) · Affiliated broker-dealer or bank to another
W•••••• • R••• to P•••• S••••••••• L••
left Jun 9, 2017, registered Mar 13, 2019 (642 days) · Other
V•••• F•••••••• A•••••••• I••• to W•••••• • R•••
left Dec 13, 2012, registered Jul 16, 2013 (215 days) · Other

Signals

A•• Z••••• left U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• for O•••• W•••••• I••• (registered 2025-06-24)
May 28, 2025 · a•••••• firm change · fact
A•• Z••••• left L•• F•••••••• L•• for U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• (registered 2022-05-12)
Jun 22, 2022 · a•••••• firm change · 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address