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

R••••• A••••••••

C•••••••• G••••• M•••••• I•••BD affiliatedSan Mateo, Ca dual registrantIAPD 3240269

Feed of 09/15/2026

Also filed as R••••• Kade A••••••••

At current firm

0 y

since Nov 17, 2025

In the industry

21 y

since Apr 27, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• G••••• M•••••• I••• BD affiliated current
since Nov 17, 2025 · San Mateo, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 3, 2023 to Oct 27, 2025 · Costa Mesa, Ca
C••••••• S••••••••• former
Sep 21, 2022 to Nov 3, 2023 · Costa Mesa, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 7, 2020 to Aug 26, 2022 · Palo Alto, Ca
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Aug 4, 2011 · Palo Alto, Ca
W•••• F•••• I••••••••• L•• unclassified
Nov 2, 2009 to Jan 3, 2011 · Palo Alto, Ca
W•••• F•••• A••••••• wirehouse
Jan 22, 2008 to Nov 3, 2009 · Oakland, Ca
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Aug 24, 2005 to Dec 21, 2007 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to C•••••••• G••••• M•••••• I•••
left Oct 27, 2025, registered Nov 17, 2025 (21 days) · Affiliated broker-dealer or bank to another
C••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••
left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S•••••••••
left Aug 26, 2022, registered Sep 21, 2022 (26 days) · Wirehouse to independent RIA
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 4, 2011, registered Jan 7, 2020 (3078 days) · Wirehouse to wirehouse
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to W•••• F•••• I••••••••• L••
left Nov 3, 2009, registered Nov 2, 2009 (-1 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••
left Dec 21, 2007, registered Jan 22, 2008 (32 days) · Other

Signals

R••••• A•••••••• left A••••••••• F•••••••• S•••••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2025-11-17)
Oct 27, 2025 · Advisor changed firm · fact
R••••• A•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C••••••• S••••••••• (registered 2022-09-21)
Aug 26, 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address