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••• E•••••••• C•••••

C••••• I••••••••• A••••••• L••BD affiliatedPaso Robles, Cadual registrantIAPD 4716609

Certified Financial Planner

Feed of 09/14/2026

Also filed as A••• C•••••

At current firm

3 y

since Aug 30, 2023

In the industry

19 y

since Jun 29, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Aug 30, 2023 · Paso Robles, Ca
P••• A••••• S••••••••• L•• BD affiliated
Oct 26, 2021 to Apr 11, 2022 · Paso Robles, Ca
G••••••• W••••• P•••••••• L•• independent RIA
Jun 14, 2021 to Aug 31, 2023 · Paso Robles, Ca
C••••• A••••••• L•• former
Jul 25, 2007 to Jun 15, 2021 · Paso Robles, Ca

Moves

a registration end followed by a registration begin elsewhere

G••••••• W••••• P•••••••• L•• to P••• A••••• S••••••••• L••
left Aug 31, 2023, registered Oct 26, 2021 (-674 days) · RIA to affiliated broker-dealer or bank
P••• A••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••
left Apr 11, 2022, registered Aug 30, 2023 (506 days) · Affiliated broker-dealer or bank to another
C••••• A••••••• L•• to G••••••• W••••• P•••••••• L••
left Jun 15, 2021, registered Jun 14, 2021 (-1 days) · Affiliated broker-dealer or bank to a newly registered adviser

Signals

A••• E•••••••• C••••• left G••••••• W••••• P•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2021-10-26)
Aug 31, 2023 · Advisor changed firm · fact
A••• E•••••••• C••••• left P••• A••••• S••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-08-30)
Apr 11, 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address