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••••• C••••••• B••••••

E•••••• E••••• L••BD affiliatedSan Mateo, Ca dual registrantIAPD 4331728

Certified Financial Planner

Feed of 09/14/2026

Also filed as A••••• C B••••••

At current firm

9 y

since Jul 7, 2017

In the industry

35 y

since Mar 1, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••• E••••• L•• BD affiliated current
since Jul 7, 2017 · San Mateo, Ca
W••••••• C••••••• I••• independent RIA
May 25, 2017 to Jul 18, 2017 · Irvine, Ca
F•••• H•••••••• C••••••••• I••• BD affiliated
Jul 6, 2015 to May 15, 2017 · Woodland Hills, Ca
C••••••••• F•••••••• N•••••• national BD
Apr 25, 2007 to Jul 6, 2015 · Encino, Ca
H••••••••• G••••• E••••• • R••••••••• S••••••••• unclassified
Sep 2, 2003 to May 10, 2007 · Encino, Ca

Moves

a registration end followed by a registration begin elsewhere

W••••••• C••••••• I••• to E•••••• E••••• L••
left Jul 18, 2017, registered Jul 7, 2017 (-11 days) · Other
F•••• H•••••••• C••••••••• I••• to W••••••• C••••••• I•••
left May 15, 2017, registered May 25, 2017 (10 days) · Other
C••••••••• F•••••••• N•••••• to F•••• H•••••••• C••••••••• I•••
left Jul 6, 2015, registered Jul 6, 2015 (0 days) · Other
H••••••••• G••••• E••••• • R••••••••• S••••••••• to C••••••••• F•••••••• N••••••
left May 10, 2007, registered Apr 25, 2007 (-15 days) · Other

Signals

No dated event on this person.

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: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address