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••••••• C•••••••

T••••••••• R••••••••• A•••••••• L••BD affiliatedPrescott, Azdual registrantIAPD 3096165

Feed of 09/14/2026

Also filed as C••••••• C•••••••

At current firm

3 y

since Apr 18, 2023

In the industry

28 y

since Aug 6, 1998 (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

T••••••••• R••••••••• A•••••••• L•• BD affiliated current
since Apr 18, 2023 · Prescott, Az
E•••••• A••••••• G••••• L•• BD affiliated
Jul 29, 2020 to Aug 24, 2022 · Greenwood Village, Co
T••••••• I••••••••• M••••••••• institutional
Oct 16, 2019 to Jul 20, 2020 · Madison, Wi
C••• B•••••••• S•••••••• I••• former
Dec 4, 2003 to Jul 20, 2020 · La Center, Wa
C•••••• S••••• • C••• I••• national BD
May 5, 2003 to Nov 19, 2003 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

E•••••• A••••••• G••••• L•• to T••••••••• R••••••••• A•••••••• L••
left Aug 24, 2022, registered Apr 18, 2023 (237 days) · Affiliated broker-dealer or bank to another
T••••••• I••••••••• M••••••••• to E•••••• A••••••• G••••• L••
left Jul 20, 2020, registered Jul 29, 2020 (9 days) · Other
C••• B•••••••• S•••••••• I••• to T••••••• I••••••••• M•••••••••
left Jul 20, 2020, registered Oct 16, 2019 (-278 days) · channel change inside one enterprise, not a move
C•••••• S••••• • C••• I••• to C••• B•••••••• S•••••••• I•••
left Nov 19, 2003, registered Dec 4, 2003 (15 days) · Other

Signals

C••••••• C••••••• left E•••••• A••••••• G••••• L•• for T••••••••• R••••••••• A•••••••• L•• (registered 2023-04-18)
Aug 24, 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address