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
6 y
since May 5, 2020
In the industry
12 y
since Feb 1, 2014 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Aja Financial LLC state registered currentsince May 5, 2020 · Opelika, Al
- Arbor Point Advisors formerOct 2, 2019 to Apr 29, 2020 · Auburn, Al
- Cetera Investment Advisers LLC BD affiliatedApr 18, 2018 to Nov 22, 2019 · Auburn, Al
Moves
a registration end followed by a registration begin elsewhere
- Arbor Point Advisors to Aja Financial LLCleft Apr 29, 2020, registered May 5, 2020 (6 days) · Affiliated broker-dealer or bank to a state-registered adviser
- Cetera Investment Advisers LLC to Arbor Point Advisorsleft Nov 22, 2019, registered Oct 2, 2019 (-51 days) · Affiliated broker-dealer or bank to another · moved with a team
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
- STATE REGISTEREDderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address