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.
Registered advisor
Denise Helen Farkas
Feed of 09/14/2026
Also filed as Denise Helen Chiu
At current firm
8 y
since Dec 15, 2017
In the industry
20 y
since Apr 10, 2006 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Sage Rhino Capital LLC independent RIA currentsince Dec 15, 2017 · Menlo Park, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAug 2, 2012 to Dec 19, 2017 · Palo Alto, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOct 23, 2009 to Jun 11, 2012 · Laguna Niguel, Ca
- Banc Of America Investment Services, Inc. unclassifiedApr 13, 2009 to Oct 23, 2009 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Sage Rhino Capital LLCleft Dec 19, 2017, registered Dec 15, 2017 (-4 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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