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

D•••• P•••••• C•••••••

I• F•••••••• A••••••• S••••••• L••independent RIAHenderson, Nv dual registrantIAPD 5273942

Feed of 09/14/2026

Also filed as D•••• C•••••••

At current firm

6 y

since May 27, 2020

In the industry

19 y

since Mar 30, 2007 (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

I• F•••••••• A••••••• S••••••• L•• independent RIA current
since May 27, 2020 · Charlotte, Nc
C••••• M•••••• independent RIA
Sep 16, 2019 to Feb 25, 2020 · Las Vegas, Nv
S••••••••• A•••••• A•••••••• I••• former
Oct 4, 2018 to Jul 30, 2019 · Las Vegas, Nv
J••• M••••• S••••••••• L•• wirehouse
Sep 21, 2017 to Jul 6, 2018 · Prescott, Az
O•••• F•• I••• former
Apr 24, 2017 to Sep 12, 2017 · Las Vegas, Nv
L•• F•••••••• L•• BD affiliated
Apr 11, 2014 to Jul 14, 2016 · Henderson, Nv
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Apr 16, 2014 · Las Vegas, Nv
C•••• I••••••••• S••••••• C•••• former
Apr 6, 2011 to Oct 1, 2012 · Las Vegas, Nv
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Apr 6, 2011 · Las Vegas, Nv
W•••• F•••• I••••••••• L•• unclassified
Apr 2, 2007 to Jan 3, 2011 · Las Vegas, Nv

Moves

a registration end followed by a registration begin elsewhere

C••••• M•••••• to I• F•••••••• A••••••• S••••••• L••
left Feb 25, 2020, registered May 27, 2020 (92 days) · RIA to RIA
S••••••••• A•••••• A•••••••• I••• to C••••• M••••••
left Jul 30, 2019, registered Sep 16, 2019 (48 days) · Affiliated broker-dealer or bank to independent RIA
J••• M••••• S••••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left Jul 6, 2018, registered Oct 4, 2018 (90 days) · Wirehouse to affiliated broker-dealer or bank
O•••• F•• I••• to J••• M••••• S••••••••• L••
left Sep 12, 2017, registered Sep 21, 2017 (9 days) · Other
L•• F•••••••• L•• to O•••• F•• I•••
left Jul 14, 2016, registered Apr 24, 2017 (284 days) · Other
J••• M••••• S••••••••• L•• to L•• F•••••••• L••
left Apr 16, 2014, registered Apr 11, 2014 (-5 days) · Other
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••
left Apr 6, 2011, registered Apr 6, 2011 (0 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address