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••••••• R•••••

S•••••••• A••••••• L••national BDNewport Beach, Ca dual registrantIAPD 4274635

Certified Financial Planner

Feed of 09/14/2026

Also filed as C••••••• Jean R•••••

At current firm

1 y

since Mar 31, 2025

In the industry

14 y

since Jul 1, 2012 (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

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Seal Beach, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Feb 29, 2024 to Mar 31, 2025 · Seal Beach, Ca
T• A••••••••• I••• former
Apr 4, 2022 to Oct 14, 2022 · Santa Monica, Ca
C•••••• S••••• • C••• I••• national BD
Mar 18, 2019 to Jan 9, 2024 · Brea, Ca
E••••• J•••• national BD
Aug 8, 2012 to Mar 8, 2019 · Anaheim, Ca

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
C•••••• S••••• • C••• I••• to T• A••••••••• I•••
left Jan 9, 2024, registered Apr 4, 2022 (-645 days) · Other
T• A••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Oct 14, 2022, registered Feb 29, 2024 (503 days) · Other
E••••• J•••• to C•••••• S••••• • C••• I•••
left Mar 8, 2019, registered Mar 18, 2019 (10 days) · Affiliated broker-dealer or bank to another · moved with a team

Signals

C••••••• R••••• left C•••••• S••••• • C••• I••• for T• A••••••••• I••• (registered 2022-04-04)
Jan 9, 2024 · Advisor changed firm · fact
C••••••• R••••• left T• A••••••••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-02-29)
Oct 14, 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: National broker-dealer RIAderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address