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••••••• M•••• W••••••

R•••••••• L••independent RIAPalo Alto, Ca IA-onlyIAPD 3260111

Certified Financial Planner

Feed of 09/14/2026

Also filed as C••••••• Holmes

At current firm

10 y

since Jul 28, 2016

In the industry

27 y

since Jul 31, 1999 (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

R•••••••• L•• independent RIA current
since Jul 28, 2016 · Palo Alto, Ca
I••••••••• W••••• C••••••• L•• former
Dec 12, 2012 to Sep 5, 2014 · Reno, Nv
O••••••••• A•••• M••••••••• BD affiliated
Apr 15, 2003 to Feb 13, 2004 · New York, Ny
O••••••••• • C•• I••• BD affiliated
Jan 3, 2003 to Apr 15, 2003 · San Francisco, Ca
C••• W•••• M•••••• C•••• unclassified
Dec 10, 2002 to Jan 3, 2003 · San Francisco, Ca
W•••• F•••• I••••••••• L•• unclassified
Jun 6, 2002 to Jan 7, 2003 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

I••••••••• W••••• C••••••• L•• to R•••••••• L••
left Sep 5, 2014, registered Jul 28, 2016 (692 days) · Other
O••••••••• A•••• M••••••••• to I••••••••• W••••• C••••••• L••
left Feb 13, 2004, registered Dec 12, 2012 (3225 days) · Other
O••••••••• • C•• I••• to O••••••••• A•••• M•••••••••
left Apr 15, 2003, registered Apr 15, 2003 (0 days) · corporate re-registration, not a move
W•••• F•••• I••••••••• L•• to C••• W•••• M•••••• C••••
left Jan 7, 2003, registered Dec 10, 2002 (-28 days) · Other
C••• W•••• M•••••• C•••• to O••••••••• • C•• I•••
left Jan 3, 2003, registered Jan 3, 2003 (0 days) · corporate re-registration, not a move

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: Independent wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address