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

C•••••• A•••••••••

L•• F•••••••• L••BD affiliatedPetaluma, Ca dual registrantIAPD 4816123

Feed of 09/15/2026

Also filed as C•••••• Macasocol

At current firm

3 y

since Jul 26, 2023

In the industry

20 y

since Oct 5, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jul 26, 2023 · Napa, Ca
E•••••• F•••••••• E•••••• independent RIA
May 23, 2019 to Aug 18, 2023 · Roseville, Ca
C•••••• S••••• • C••• I••• national BD
Jun 6, 2016 to May 21, 2019 · Roseville, Ca
S•••••••• A••••••• L•• national BD
Jan 11, 2016 to May 25, 2016 · Campbell, Ca
C•••••• S••••• • C••• I••• national BD
Oct 7, 2010 to Oct 30, 2015 · Campbell, Ca
U•• F•••••••• S••••••• I••• wirehouse
Aug 11, 2006 to Aug 18, 2009 · Indian Wells, Ca
M••••• S•••••• D• I••• unclassified
Oct 7, 2005 to Aug 4, 2006 · Palm Desert, Ca

Moves

a registration end followed by a registration begin elsewhere

E•••••• F•••••••• E•••••• to L•• F•••••••• L••
left Aug 18, 2023, registered Jul 26, 2023 (-23 days) · RIA to affiliated broker-dealer or bank
C•••••• S••••• • C••• I••• to E•••••• F•••••••• E••••••
left May 21, 2019, registered May 23, 2019 (2 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••
left May 25, 2016, registered Jun 6, 2016 (12 days) · Affiliated broker-dealer or bank to another
C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••
left Oct 30, 2015, registered Jan 11, 2016 (73 days) · Affiliated broker-dealer or bank to another · moved with a team
U•• F•••••••• S••••••• I••• to C•••••• S••••• • C••• I•••
left Aug 18, 2009, registered Oct 7, 2010 (415 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••
left Aug 4, 2006, registered Aug 11, 2006 (7 days) · Other

Signals

C•••••• A••••••••• left E•••••• F•••••••• E•••••• for L•• F•••••••• L•• (registered 2023-07-26)
Aug 18, 2023 · 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address