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.

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Registered advisor

R•••• L••••• C••••••

P•• W••••• M•••••••••BD affiliatedLake Havasu City, Az dual registrantIAPD 5197265

Feed of 09/15/2026

Also filed as Rick C••••••

At current firm

3 y

since Aug 23, 2023

In the industry

17 y

since Apr 7, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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•• W••••• M••••••••• BD affiliated current
since Aug 23, 2023 · Kingman, Az
P••• A••••• S••••••••• L•• BD affiliated
Nov 7, 2022 to Aug 23, 2023 · Phoenix, Az
C••••••• F•••••••• S•••••• C••••••••• former
May 17, 2021 to Jul 1, 2022 · Centennial, Co
G•• S••••••••• I••• BD affiliated
May 14, 2019 to Dec 31, 2019 · Ft. Lauderdale, Fl
C•••••• A••••••• BD affiliated
Apr 9, 2019 to Apr 18, 2019 · Boca Raton, Fl
L•••••• I••••••••• independent RIA
Apr 4, 2019 to Apr 18, 2019 · Boca Raton, Fl
P••• A••••• S••••••••• L•• BD affiliated
Apr 1, 2014 to Apr 11, 2019 · Newport Beach, Ca
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Sep 19, 2013 to Mar 4, 2014 · Irvine, Ca
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Mar 22, 2010 to Sep 5, 2013 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

P••• A••••• S••••••••• L•• to P•• W••••• M•••••••••
left Aug 23, 2023, registered Aug 23, 2023 (0 days) · Affiliated broker-dealer or bank to another
C••••••• F•••••••• S•••••• C••••••••• to P••• A••••• S••••••••• L••
left Jul 1, 2022, registered Nov 7, 2022 (129 days) · Other
G•• S••••••••• I••• to C••••••• F•••••••• S•••••• C•••••••••
left Dec 31, 2019, registered May 17, 2021 (503 days) · Other
L•••••• I••••••••• to C•••••• A•••••••
left Apr 18, 2019, registered Apr 9, 2019 (-9 days) · Affiliated broker-dealer or bank to another
C•••••• A••••••• to G•• S••••••••• I•••
left Apr 18, 2019, registered May 14, 2019 (26 days) · Affiliated broker-dealer or bank to another
P••• A••••• S••••••••• L•• to L•••••• I•••••••••
left Apr 11, 2019, registered Apr 4, 2019 (-7 days) · Affiliated broker-dealer or bank to another
N••••••••• M••••• I••••••••• S••••••••• to P••• A••••• S••••••••• L••
left Mar 4, 2014, registered Apr 1, 2014 (28 days) · Other
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to N••••••••• M••••• I••••••••• S•••••••••
left Sep 5, 2013, registered Sep 19, 2013 (14 days) · Other

Signals

R•••• L••••• C•••••• left P••• A••••• S••••••••• L•• for P•• W••••• M••••••••• (registered 2023-08-23)
Aug 23, 2023 · Advisor changed firm · fact
R•••• L••••• C•••••• left C••••••• F•••••••• S•••••• C••••••••• for P••• A••••• S••••••••• L•• (registered 2022-11-07)
Jul 1, 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address