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.

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Registered advisor

C•••• X• C•••

C••••• M••••••independent RIAIrvine, Cadual registrantIAPD 4091612

Feed of 09/14/2026

Also filed as Xiaoqin C•••• Cheng

At current firm

2 y

since Aug 26, 2024

In the industry

25 y

since Jan 2, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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••••• M•••••• independent RIA current
since Aug 26, 2024 · Irvine, Ca
C•••• C•••••• S••••••••• L••• former
Mar 24, 2015 to Dec 31, 2023 · Newport Beach, Ca
C•••••• W••••• M••••••••• former
Oct 10, 2011 to Feb 2, 2015 · Irvine, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 9, 2008 to Sep 22, 2011 · Newport Beach, Ca
S•••••••• A••••••• L•• national BD
Apr 8, 2004 to Jan 24, 2008 · New York, Ny
C•••• I••••••••• S••••••• C•••• former
Jun 10, 2002 to Nov 20, 2003 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••• C•••••• S••••••••• L••• to C••••• M••••••
left Dec 31, 2023, registered Aug 26, 2024 (239 days) · Affiliated broker-dealer or bank to independent RIA
C•••••• W••••• M••••••••• to C•••• C•••••• S••••••••• L•••
left Feb 2, 2015, registered Mar 24, 2015 (50 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• W••••• M•••••••••
left Sep 22, 2011, registered Oct 10, 2011 (18 days) · Other
S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 24, 2008, registered Oct 9, 2008 (259 days) · Affiliated broker-dealer or bank to wirehouse
C•••• I••••••••• S••••••• C•••• to S•••••••• A••••••• L••
left Nov 20, 2003, registered Apr 8, 2004 (140 days) · Other

Signals

C•••• X• C••• left C•••• C•••••• S••••••••• L••• for C••••• M•••••• (registered 2024-08-26)
Dec 31, 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: Independent wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address