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•• B••••

R•••••• J•••• • A••••••••• I•••national BDCarlsbad, Cadual registrantIAPD 5117817

Certified Financial Planner

Feed of 09/14/2026

Also filed as C•••••• B••••

At current firm

1 y

since Mar 13, 2025

In the industry

20 y

since May 26, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, 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•••••• J•••• • A••••••••• I••• national BD current
since Mar 13, 2025 · Carlsbad, Ca
R•• S••••••••• I••• BD affiliated
Sep 20, 2016 to Mar 26, 2025 · Walnut Creek, Ca
U••• F•••••••• P••••••• S••••••• former
Jun 23, 2014 to Jul 22, 2016 · San Francisco, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 14, 2011 to May 5, 2014 · Palo Alto, Ca
E••••• J•••• national BD
Jan 4, 2010 to Jul 13, 2010 · San Jose, Ca

Moves

a registration end followed by a registration begin elsewhere

R•• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••
left Mar 26, 2025, registered Mar 13, 2025 (-13 days) · RIA to affiliated broker-dealer or bank
U••• F•••••••• P••••••• S••••••• to R•• S••••••••• I•••
left Jul 22, 2016, registered Sep 20, 2016 (60 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• F•••••••• P••••••• S•••••••
left May 5, 2014, registered Jun 23, 2014 (49 days) · Other
E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 13, 2010, registered Feb 14, 2011 (216 days) · Affiliated broker-dealer or bank to wirehouse

Signals

C•••••• R•• B•••• left R•• S••••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2025-03-13)
Mar 26, 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: National broker-dealer RIAderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address