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

S•••• C• C••••

W•••• F•••• A•••••••wirehouseHenderson, Nv dual registrantIAPD 4610373

Feed of 09/14/2026

Also filed as S•••• C••••

At current firm

2 y

since Jun 21, 2024

In the industry

23 y

since Feb 10, 2003 (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

W•••• F•••• A••••••• wirehouse current
since Jun 21, 2024 · Henderson, Nv
C•••••••• G••••• M•••••• I••• BD affiliated
Sep 25, 2017 to Apr 18, 2024 · New York, Ny
C•••••• O•• A•••••••• L•• former
Jan 17, 2017 to Sep 25, 2017 · New York, Ny
H••• S••••••••• •••• I••• BD affiliated
Dec 16, 2015 to Feb 3, 2017 · New York, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 3, 2012 to Dec 7, 2015 · New York, Ny
C•••• I••••••••• S••••••• C•••• former
Sep 16, 2010 to Jun 25, 2012 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••
left Apr 18, 2024, registered Jun 21, 2024 (64 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
C•••••• O•• A•••••••• L•• to C•••••••• G••••• M•••••• I•••
left Sep 25, 2017, registered Sep 25, 2017 (0 days) · Other
H••• S••••••••• •••• I••• to C•••••• O•• A•••••••• L••
left Feb 3, 2017, registered Jan 17, 2017 (-17 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• S••••••••• •••• I•••
left Dec 7, 2015, registered Dec 16, 2015 (9 days) · Other
C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 25, 2012, registered Jul 3, 2012 (8 days) · Other

Signals

S•••• C• C•••• left C•••••••• G••••• M•••••• I••• for W•••• F•••• A••••••• (registered 2024-06-21)
Apr 18, 2024 · advisor firm c••••e · 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: Wirehousederived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address