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

R••••• O••••• D••• C•••

W•••• F•••• A•••••••wirehouseSan Francisco, Cadual registrantIAPD 4865938

Feed of 09/14/2026

Also filed as R••••• D••• C•••

At current firm

2 y

since May 30, 2024

In the industry

21 y

since Feb 1, 2005 (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

W•••• F•••• A••••••• wirehouse current
since May 30, 2024 · San Francisco, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Apr 12, 2023 to Apr 19, 2024 · San Francisco, Ca
E•••••• C•••••• M••••••••• L•• former
Mar 5, 2019 to Jan 31, 2023 · San Francisco, Ca
T• A••••••••• I••• former
Mar 7, 2017 to Mar 4, 2019 · San Mateo, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Mar 7, 2017 to Mar 4, 2019 · San Mateo, Ca
B••••••• I••••••••• S•••••••• I••• ••••• former
Nov 2, 2015 to Aug 10, 2016 · Menlo Park, Ca
C•••••• S••••• • C••• I••• national BD
Jan 15, 2008 to Oct 16, 2015 · Menlo Park, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 2, 2005 to Jan 5, 2008 · San Mateo, Ca

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to W•••• F•••• A•••••••
left Apr 19, 2024, registered May 30, 2024 (41 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jan 31, 2023, registered Apr 12, 2023 (71 days) · RIA to affiliated broker-dealer or bank · moved with a team
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Mar 4, 2019, registered Mar 7, 2017 (-727 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Mar 4, 2019, registered Mar 7, 2017 (-727 days) · Other
B••••••• I••••••••• S•••••••• I••• ••••• to T• A••••••••• I••••••••• M••••••••• L••
left Aug 10, 2016, registered Mar 7, 2017 (209 days) · Other
C•••••• S••••• • C••• I••• to B••••••• I••••••••• S•••••••• I••• •••••
left Oct 16, 2015, registered Nov 2, 2015 (17 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••
left Jan 5, 2008, registered Jan 15, 2008 (10 days) · Wirehouse to affiliated broker-dealer or bank

Signals

R••••• O••••• D••• C••• left F••••••• P••••••• A•• W•••••••• A••••••• for W•••• F•••• A••••••• (registered 2024-05-30)
Apr 19, 2024 · Advisor changed firm · fact
R••••• O••••• D••• C••• left E•••••• C•••••• M••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-04-12)
Jan 31, 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: Wirehousederived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address