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••• Y••••

W••••••••• A•••••••state registeredAvalon, CaIA-onlyIAPD 3277843

Feed of 09/14/2026

Also filed as C••••••••• C••• Y••••

At current firm

3 y

since Jan 10, 2023

In the industry

29 y

since Jul 8, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

W••••••••• A••••••• state registered current
since Jan 10, 2023 · Avalon, Ca
S•• I••••••••• A•••••••• I••• former
Feb 27, 2018 to Dec 31, 2022 · Lihue, Hi
M••••• S•••••• wirehouse
Aug 26, 2013 to Sep 7, 2017 · Lihue, Hi
S•••••••• A••••••• L•• national BD
Mar 22, 2010 to May 14, 2013 · Stamford, Ct
C••••••••• I••••••••• M••••••••• unclassified
Feb 6, 2009 to Dec 11, 2009 · Wethersfield, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 5, 2008 to Feb 4, 2009 · Pennington, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 8, 1997 to Oct 6, 2004 · Santa Ana, Ca

Moves

a registration end followed by a registration begin elsewhere

S•• I••••••••• A•••••••• I••• to W••••••••• A•••••••
left Dec 31, 2022, registered Jan 10, 2023 (10 days) · Affiliated broker-dealer or bank to a state-registered adviser
M••••• S•••••• to S•• I••••••••• A•••••••• I•••
left Sep 7, 2017, registered Feb 27, 2018 (173 days) · Other
S•••••••• A••••••• L•• to M••••• S••••••
left May 14, 2013, registered Aug 26, 2013 (104 days) · Affiliated broker-dealer or bank to wirehouse
C••••••••• I••••••••• M••••••••• to S•••••••• A••••••• L••
left Dec 11, 2009, registered Mar 22, 2010 (101 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••••• I••••••••• M•••••••••
left Feb 4, 2009, registered Feb 6, 2009 (2 days) · Other

Signals

C••••••••• C••• Y•••• left S•• I••••••••• A•••••••• I••• for W••••••••• A••••••• (registered 2023-01-10)
Dec 31, 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: STATE REGISTEREDderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address