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

F•••• A••••• F••••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedPhoenix, Azdual registrantIAPD 4037355

Feed of 09/14/2026

At current firm

3 y

since Aug 30, 2023

In the industry

24 y

since Sep 29, 2001 (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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Aug 30, 2023 · Phoenix, Az
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Nov 10, 2021 to Jan 12, 2023 · Milwaukee, Wi
U••• I••••••••• S••••••• C•••••• no RAUM
Jan 8, 2018 to Jul 30, 2020 · San Antonio, Tx
U••• F•••••••• P••••••• S••••••• former
Dec 9, 2008 to Jan 8, 2018 · Phoenix, Az
U••• I••••••••• S••••••• C•••••• no RAUM
Nov 13, 2006 to Dec 31, 2008 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

N••••••••• M••••• I••••••••• S••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jan 12, 2023, registered Aug 30, 2023 (230 days) · Other
U••• I••••••••• S••••••• C•••••• to N••••••••• M••••• I••••••••• S•••••••••
left Jul 30, 2020, registered Nov 10, 2021 (468 days) · Other
U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••
left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••
left Dec 31, 2008, registered Dec 9, 2008 (-22 days) · corporate re-registration, not a move

Signals

F•••• A••••• F•••••••• left N••••••••• M••••• I••••••••• S••••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2023-08-30)
Jan 12, 2023 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address