DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
P••• C••••• C•••••••
Feed of 09/15/2026
Also filed as P••• C•••••••
At current firm
0 y
since Jun 26, 2026
In the industry
22 y
since May 17, 2004 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S65, 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
- L•• F•••••••• L•• BD affiliated currentsince Aug 27, 2026 · San Ramon, Ca
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jun 26, 2026 · San Ramon, Ca
- M•••••• A•••••• N•••••• BD affiliatedFeb 4, 2020 to Jun 26, 2026 · San Ramon, Ca
- O•••• F•• I••• formerFeb 1, 2016 to Feb 4, 2020 · Campbell, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDSep 8, 2006 to Feb 8, 2016 · Walnut Creek, Ca
- W••••••• F•••••••• S•••••••• I••• formerApr 11, 2006 to Sep 13, 2006 · San Ramon, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• A•••••• N•••••• to P•••••• A•••••• G••••• L••left Jun 26, 2026, registered Jun 26, 2026 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to M•••••• A•••••• N••••••left Feb 4, 2020, registered Feb 4, 2020 (0 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••••• F•••••••• S•••••••• L•• to O•••• F•• I•••left Feb 8, 2016, registered Feb 1, 2016 (-7 days) · Other
- W••••••• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 13, 2006, registered Sep 8, 2006 (-5 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
- 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