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

A•••• N•••••• C•••••••

C••••••• A•• S••• W••••• M•••••••••state registeredWoodland Hills, CaIA-onlyIAPD 4286595

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Jan 27, 2025

In the industry

25 y

since Jan 12, 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••••••• A•• S••• W••••• M••••••••• state registered current
since Jan 27, 2025 · Woodland Hills, Ca
S•• B•••••• F•••••••• S•••••••• I••• BD affiliated
Mar 4, 2019 to Apr 25, 2024 · Woodland Hills, Ca
F•••••••• E••••• S•••••••• I••• former
Jun 14, 2016 to Nov 6, 2018 · Woodland Hills, Ca
K••••••• C•••••• C••••••••• former
Apr 17, 2014 to Feb 16, 2016 · New York, Ny
N•• E•••••• S••••••••• C••••••••• former
Sep 25, 2001 to Apr 18, 2014 · Woodland Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

S•• B•••••• F•••••••• S•••••••• I••• to C••••••• A•• S••• W••••• M•••••••••
left Apr 25, 2024, registered Jan 27, 2025 (277 days) · Affiliated broker-dealer or bank to a state-registered adviser
F•••••••• E••••• S•••••••• I••• to S•• B•••••• F•••••••• S•••••••• I•••
left Nov 6, 2018, registered Mar 4, 2019 (118 days) · Affiliated broker-dealer or bank to another
K••••••• C•••••• C••••••••• to F•••••••• E••••• S•••••••• I•••
left Feb 16, 2016, registered Jun 14, 2016 (119 days) · Other
N•• E•••••• S••••••••• C••••••••• to K••••••• C•••••• C•••••••••
left Apr 18, 2014, registered Apr 17, 2014 (-1 days) · Other

Signals

A•••• N•••••• C••••••• left S•• B•••••• F•••••••• S•••••••• I••• for C••••••• A•• S••• W••••• M••••••••• (registered 2025-01-27)
Apr 25, 2024 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address