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•••••

P•••••••• S••••••••• I•••BD affiliatedDes Moines, Ia dual registrantIAPD 5022315

Feed of 09/14/2026

Also filed as Tony C•••••

At current firm

3 y

since May 19, 2023

In the industry

20 y

since Jan 20, 2006 (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

P•••••••• S••••••••• I••• BD affiliated current
since May 19, 2023 · Gilbert, Az
M• F•••••••• A•••• M••••••••• I••• independent RIA
Oct 14, 2022 to Apr 27, 2023 · Murrieta, Ca
M• H••••••• S••••••••• I••• BD affiliated
Sep 9, 2022 to Apr 27, 2023 · Murrieta, Ca
C••••••••• F•••••••• N•••••• national BD
Dec 11, 2015 to Aug 30, 2022 · San Diego, Ca
C••• F•••••••• S•••••••• L••• former
Oct 2, 2015 to Dec 7, 2015 · San Diego, Ca
S••••••• P•••••• F••••••••• L•• former
Oct 2, 2015 to Dec 22, 2015 · San Diego, Ca
C••••••••• F•••••••• N•••••• national BD
Mar 6, 2012 to Sep 30, 2015 · Waltham, Ma

Moves

a registration end followed by a registration begin elsewhere

M• F•••••••• A•••• M••••••••• I••• to P•••••••• S••••••••• I•••
left Apr 27, 2023, registered May 19, 2023 (22 days) · RIA to affiliated broker-dealer or bank
M• H••••••• S••••••••• I••• to M• F•••••••• A•••• M••••••••• I•••
left Apr 27, 2023, registered Oct 14, 2022 (-195 days) · Affiliated broker-dealer or bank to independent RIA
C••••••••• F•••••••• N•••••• to M• H••••••• S••••••••• I•••
left Aug 30, 2022, registered Sep 9, 2022 (10 days) · Affiliated broker-dealer or bank to another
S••••••• P•••••• F••••••••• L•• to C••••••••• F•••••••• N••••••
left Dec 22, 2015, registered Dec 11, 2015 (-11 days) · Other
C••• F•••••••• S•••••••• L••• to S••••••• P•••••• F••••••••• L••
left Dec 7, 2015, registered Oct 2, 2015 (-66 days) · Other
C••••••••• F•••••••• N•••••• to C••• F•••••••• S•••••••• L•••
left Sep 30, 2015, registered Oct 2, 2015 (2 days) · Other

Signals

A•••••• C••••• left M• F•••••••• A•••• M••••••••• I••• for P•••••••• S••••••••• I••• (registered 2023-05-19)
Apr 27, 2023 · Advisor changed firm · fact
A•••••• C••••• left M• H••••••• S••••••••• I••• for M• F•••••••• A•••• M••••••••• I••• (registered 2022-10-14)
Apr 27, 2023 · Advisor changed firm · fact
A•••••• C••••• left C••••••••• F•••••••• N•••••• for M• H••••••• S••••••••• I••• (registered 2022-09-09)
Aug 30, 2022 · 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