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••••• F• L•••

W•••• F•••• A•••••••wirehouseSacramento, Cadual registrantIAPD 5198450

Feed of 09/14/2026

Also filed as A••••• F. Ose

At current firm

1 y

since Dec 10, 2024

In the industry

11 y

since Sep 1, 2015 (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

W•••• F•••• A••••••• wirehouse current
since Dec 10, 2024 · Sacramento, Ca
R•• C•••••• M••••••• L•• national BD
Nov 12, 2024 to Dec 19, 2024 · El Dorado Hills, Ca
W•••• F•••• A••••••• wirehouse
Jul 14, 2020 to Nov 22, 2024 · Sacramento, Ca
M••••• S•••••• wirehouse
Jan 3, 2017 to Jul 16, 2020 · Sacramento, Ca

Moves

a registration end followed by a registration begin elsewhere

R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••
left Dec 19, 2024, registered Dec 10, 2024 (-9 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to R•• C•••••• M••••••• L••
left Nov 22, 2024, registered Nov 12, 2024 (-10 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M••••• S•••••• to W•••• F•••• A•••••••
left Jul 16, 2020, registered Jul 14, 2020 (-2 days) · Wirehouse to wirehouse · moved with a team

Signals

A••••• F• L••• left R•• C•••••• M••••••• L•• for W•••• F•••• A••••••• (registered 2024-12-10)
Dec 19, 2024 · Advisor changed firm · fact
A••••• F• L••• left W•••• F•••• A••••••• for R•• C•••••• M••••••• L•• (registered 2024-11-12)
Nov 22, 2024 · 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: Wirehousederived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address