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

T••• W••• D•••••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedRoseville, Cadual registrantIAPD 5527778

Feed of 09/14/2026

At current firm

2 y

since Oct 25, 2023

In the industry

18 y

since Aug 14, 2008 (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

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Oct 25, 2023 · Roseville, Ca
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Nov 14, 2022 to Oct 30, 2023 · Rocklin, Ca
W••••••• F•••••••• S•••••••• I••• former
Mar 1, 2019 to Nov 16, 2022 · Torrance, Ca
Q•••••• A•••• M••••••••• I••• former
Oct 11, 2012 to Mar 1, 2019 · Minneapolis, Mn
W••••••• F•••••••• S•••••••• I••• former
Feb 6, 2012 to Oct 11, 2012 · Rocklin, Ca
E••••• J•••• national BD
Aug 18, 2008 to Jan 26, 2012 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Oct 30, 2023, registered Oct 25, 2023 (-5 days) · Affiliated broker-dealer or bank to another
W••••••• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Nov 16, 2022, registered Nov 14, 2022 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
W••••••• F•••••••• S•••••••• I••• to Q•••••• A•••• M••••••••• I•••
left Oct 11, 2012, registered Oct 11, 2012 (0 days) · Other
E••••• J•••• to W••••••• F•••••••• S•••••••• I•••
left Jan 26, 2012, registered Feb 6, 2012 (11 days) · Other

Signals

T••• W••• D••••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-10-25)
Oct 30, 2023 · Advisor changed firm · fact
T••• W••• D••••••• left W••••••• F•••••••• S•••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-11-14)
Nov 16, 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address