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

A•••• C• E••••

L•• F•••••••• L••BD affiliatedLas Vegas, Nvdual registrantIAPD 4972050

Feed of 09/14/2026

Also filed as Annie S Chang

At current firm

1 y

since Aug 15, 2025

In the industry

20 y

since Dec 20, 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, S65

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 Aug 15, 2025 · Las Vegas, Nv
M••••• S•••••• wirehouse
Dec 5, 2018 to Aug 18, 2025 · Las Vegas, Nv
S•••••••• F••••• W•••••• L•• unclassified
Jun 18, 2015 to Sep 4, 2018 · Las Vegas, Nv
S•••••••• F••••• W•••••• L•• unclassified
Jun 18, 2015 to Oct 11, 2018 · Las Vegas, Nv
S•••••••• P•••••••• A••••••• former
Apr 23, 2014 to Dec 11, 2015 · Las Vegas, Nv
S•••••••• P•••••••• A••••••• former
Apr 23, 2014 to Dec 31, 2014 · Las Vegas, Nv
C•••••• S••••• • C••• I••• national BD
Feb 13, 2013 to Mar 11, 2014 · Las Vegas, Nv
T• A••••••••• I••• former
Jan 2, 2009 to Feb 8, 2013 · Las Vegas, Nv
T• A••••••••• I••••••••• M••••••••• L•• former
Jan 2, 2009 to Feb 8, 2013 · Las Vegas, Nv
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 16, 2006 to Feb 5, 2008 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to L•• F•••••••• L••
left Aug 18, 2025, registered Aug 15, 2025 (-3 days) · Wirehouse to affiliated broker-dealer or bank
S•••••••• F••••• W•••••• L•• to M••••• S••••••
left Oct 11, 2018, registered Dec 5, 2018 (55 days) · Other
S•••••••• P•••••••• A••••••• to S•••••••• F••••• W•••••• L••
left Dec 11, 2015, registered Jun 18, 2015 (-176 days) · Other
C•••••• S••••• • C••• I••• to S•••••••• P•••••••• A•••••••
left Mar 11, 2014, registered Apr 23, 2014 (43 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Feb 8, 2013, registered Jan 2, 2009 (-1498 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 8, 2013, registered Jan 2, 2009 (-1498 days) · channel change inside one enterprise, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 5, 2008, registered Jan 2, 2009 (332 days) · Other

Signals

A•••• C• E•••• left M••••• S•••••• for L•• F•••••••• L•• (registered 2025-08-15)
Aug 18, 2025 · 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