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•••••• R••••

S••••••• W••••• M••••••••• L••independent RIAPurchase, Ny IA-onlyIAPD 5028370

Feed of 09/15/2026

Also filed as Claudia Trinidad Rivas

At current firm

2 y

since Mar 5, 2024

In the industry

20 y

since Mar 31, 2006 (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

S••••••• W••••• M••••••••• L•• independent RIA current
since Mar 5, 2024 · San Francisco, Ca
J••• M••••• S••••••••• L•• wirehouse
Jan 17, 2024 to Mar 7, 2024 · San Francisco, Ca
J••• M••••• P•••••• W••••• A••••••• L•• former
Nov 4, 2022 to Mar 8, 2024 · San Francisco, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 10, 2018 to Nov 7, 2022 · San Francisco, Ca
W•••• F•••• A••••••• wirehouse
May 19, 2017 to Sep 11, 2018 · Oakland, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 7, 2006 to May 22, 2017 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••
left Mar 8, 2024, registered Jan 17, 2024 (-51 days) · channel change inside one enterprise, not a move
J••• M••••• S••••••••• L•• to S••••••• W••••• M••••••••• L••
left Mar 7, 2024, registered Mar 5, 2024 (-2 days) · Wirehouse to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••
left Nov 7, 2022, registered Nov 4, 2022 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 11, 2018, registered Sep 10, 2018 (-1 days) · Wirehouse to wirehouse · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left May 22, 2017, registered May 19, 2017 (-3 days) · Wirehouse to wirehouse

Signals

C•••••• R•••• left J••• M••••• S••••••••• L•• for S••••••• W••••• M••••••••• L•• (registered 2024-03-05)
Mar 7, 2024 · Advisor changed firm · fact
C•••••• R•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• P•••••• W••••• A••••••• L•• (registered 2022-11-04)
Nov 7, 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: Independent wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address