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

D•••• A••••• E•••

U••• B•••••• A•••••••• L••BD affiliatedSun City, Az dual registrantIAPD 4787821

Feed of 09/15/2026

Also filed as D•••• A••••• E•••

At current firm

0 y

since Feb 13, 2026

In the industry

22 y

since Jun 2, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Sun City, Az
U••• B•••••• I••••••••• I••• former
Jun 21, 2023 to Feb 13, 2026 · Phoenix, Az
C••••••• S••••••••• former
May 23, 2022 to Jun 9, 2023 · Phoenix, Az
P•••• S••••••••• L•• no RAUM
Apr 1, 2021 to May 24, 2022 · Phoenix, Az
P•• M•••••• A•••••• S••••••••• I••• former
Jan 20, 2017 to Mar 17, 2021 · Prescott, Az

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
C••••••• S••••••••• to U••• B•••••• I••••••••• I•••
left Jun 9, 2023, registered Jun 21, 2023 (12 days) · RIA to affiliated broker-dealer or bank
P•••• S••••••••• L•• to C••••••• S•••••••••
left May 24, 2022, registered May 23, 2022 (-1 days) · Affiliated broker-dealer or bank to independent RIA
P•• M•••••• A•••••• S••••••••• I••• to P•••• S••••••••• L••
left Mar 17, 2021, registered Apr 1, 2021 (15 days) · Affiliated broker-dealer or bank to another

Signals

D•••• A••••• E••• left C••••••• S••••••••• for U••• B•••••• I••••••••• I••• (registered 2023-06-21)
Jun 9, 2023 · Advisor changed firm · fact
D•••• A••••• E••• left P•••• S••••••••• L•• for C••••••• S••••••••• (registered 2022-05-23)
May 24, 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address