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

Q•••• T•• P•••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedSan Jose, Cadual registrantIAPD 4583792

Certified Financial Planner

Feed of 09/14/2026

At current firm

0 y

since Jul 1, 2026

In the industry

23 y

since Jan 14, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Jul 1, 2026 · San Jose, Ca
R•••••• J•••• • A••••••••• I••• national BD
Jan 26, 2022 to Jul 1, 2026 · San Jose, Ca
C••• F•••••••• S•••••••• L••• former
Apr 2, 2009 to Jan 26, 2022 · San Jose, Ca
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Nov 17, 2008 to Apr 2, 2009 · Santa Clara, Ca

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jul 1, 2026, registered Jul 1, 2026 (0 days) · Affiliated broker-dealer or bank to another
C••• F•••••••• S•••••••• L••• to R•••••• J•••• • A••••••••• I•••
left Jan 26, 2022, registered Jan 26, 2022 (0 days) · Affiliated broker-dealer or bank to another
B••• O• A•••••• I••••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••
left Apr 2, 2009, registered Apr 2, 2009 (0 days) · Other

Signals

Quang Thi Phan left Raymond James & Associates, Inc. for Raymond James Financial Services Advisors, Inc (registered 2026-07-01)
Jul 1, 2026 · Advisor changed firm · fact
Quang Thi Phan left Cuso Financial Services, L.P. for Raymond James & Associates, Inc. (registered 2022-01-26)
Jan 26, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address