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
16 y
since Nov 10, 2009
In the industry
24 y
since Jul 20, 2002 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Money Managers, Inc. former currentsince Nov 10, 2009 · Las Vegas, Nv
- Financial Advisers Of America, LLC formerJun 2, 2008 to Aug 17, 2009 · Carlsbad, Ca
- Crown Capital Securities, L.P. formerMar 2, 2004 to Jun 2, 2008 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- Financial Advisers Of America, LLC to Money Managers, Inc.left Aug 17, 2009, registered Nov 10, 2009 (85 days) · Other
- Crown Capital Securities, L.P. to Financial Advisers Of America, LLCleft Jun 2, 2008, registered Jun 2, 2008 (0 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
- Former SEC-registered adviserderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address