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•••••••• M•••• G••••••

R•••••• W••••• P•••••••state registeredArlington, Va IA-onlyIAPD 4934184

Feed of 09/15/2026

Also filed as C•••••••• M Warthen

At current firm

1 y

since Jan 29, 2025

In the industry

20 y

since Sep 27, 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

R•••••• W••••• P••••••• state registered current
since Jan 29, 2025 · Palo Alto, Ca
A•••• W••••• M••••••••• L•• unclassified
Sep 4, 2020 to Dec 31, 2024 · Arlington, Va
U•• F•••••••• S••••••• I••• wirehouse
Jan 16, 2019 to Sep 29, 2020 · South Ogden, Ut
U•• F•••••••• S••••••• I••• wirehouse
Jul 26, 2010 to Jul 29, 2013 · Anchorage, Ak
S•••••• N••••••• • C••••••• I••••••••• national BD
Aug 21, 2009 to May 3, 2010 · Pensacola, Fl
U•• F•••••••• S••••••• I••• wirehouse
Jun 23, 2009 to Aug 15, 2009 · Pensacola, Fl
M••••• S•••••• wirehouse
Jun 1, 2009 to Jun 24, 2009 · Pensacola, Fl
M••••• S•••••• • C•• L•• unclassified
May 14, 2008 to Jun 1, 2009 · Pensacola, Fl
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Aug 28, 2007 · Destin, Fl
M••••• S•••••• D• I••• unclassified
Jul 6, 2006 to Apr 2, 2007 · Destin, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 27, 2005 to Jun 14, 2006 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

A•••• W••••• M••••••••• L•• to R•••••• W••••• P•••••••
left Dec 31, 2024, registered Jan 29, 2025 (29 days) · Other
U•• F•••••••• S••••••• I••• to A•••• W••••• M••••••••• L••
left Sep 29, 2020, registered Sep 4, 2020 (-25 days) · Other
S•••••• N••••••• • C••••••• I••••••••• to U•• F•••••••• S••••••• I•••
left May 3, 2010, registered Jul 26, 2010 (84 days) · Affiliated broker-dealer or bank to wirehouse
U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Aug 15, 2009, registered Aug 21, 2009 (6 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to U•• F•••••••• S••••••• I•••
left Jun 24, 2009, registered Jun 23, 2009 (-1 days) · Wirehouse to wirehouse
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••
left Jun 14, 2006, registered Jul 6, 2006 (22 days) · Other

Signals

C•••••••• M•••• G•••••• left A•••• W••••• M••••••••• L•• for R•••••• W••••• P••••••• (registered 2025-01-29)
Dec 31, 2024 · 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: STATE REGISTEREDderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address