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.
Feed of 09/14/2026
At current firm
0 y
since Feb 18, 2026
In the industry
24 y
since Aug 20, 2002 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Captrust institutional currentsince Feb 18, 2026 · Costa Mesa, Ca
- Alpha Cubed Investments, LLC formerNov 9, 2015 to Apr 30, 2026 · San Jose, Ca
- Protected Investors Of America formerAug 21, 2015 to Oct 1, 2015 · San Mateo, Ca
- Td Ameritrade Investment Management, LLC formerSep 17, 2010 to Dec 3, 2014 · San Mateo, Ca
- Td Ameritrade, Inc. formerSep 17, 2010 to Dec 3, 2014 · San Mateo, Ca
- Financial Advisers Of America, LLC formerAug 12, 2009 to Dec 31, 2009 · Danville, Ca
- Osaic Wealth, Inc. BD affiliatedJun 30, 2009 to Aug 14, 2009 · Danville, Ca
- Citigroup Global Markets Inc. BD affiliatedJan 8, 2004 to Dec 16, 2008 · Berkeley, Ca
Moves
a registration end followed by a registration begin elsewhere
- Alpha Cubed Investments, LLC to Captrustleft Apr 30, 2026, registered Feb 18, 2026 (-71 days) · Other · moved with a team
- Protected Investors Of America to Alpha Cubed Investments, LLCleft Oct 1, 2015, registered Nov 9, 2015 (39 days) · Other · moved with a team
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Dec 3, 2014, registered Sep 17, 2010 (-1538 days) · Other
- Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.left Dec 3, 2014, registered Sep 17, 2010 (-1538 days) · channel change inside one enterprise, not a move
- Financial Advisers Of America, LLC to Td Ameritrade, Inc.left Dec 31, 2009, registered Sep 17, 2010 (260 days) · Other
- Osaic Wealth, Inc. to Financial Advisers Of America, LLCleft Aug 14, 2009, registered Aug 12, 2009 (-2 days) · Other
- Citigroup Global Markets Inc. to Osaic Wealth, Inc.left Dec 16, 2008, registered Jun 30, 2009 (196 days) · Other
Signals
- Steven Patrick Ford left Alpha Cubed Investments, Llc for Captrust (registered 2026-02-18)Apr 30, 2026 · 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
- Institutional managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address