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••••• A•••••• F•••••

C••••• I••••••••• A••••••• L••BD affiliatedScottsdale, Azdual registrantIAPD 5586094

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Mar 21, 2024

In the industry

15 y

since Nov 29, 2010 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Mar 21, 2024 · Scottsdale, Az
C•••••••• A•••••••• L•• independent RIA
Dec 16, 2021 to Oct 27, 2023 · Eagle, Id
P•• A••••••• independent RIA
Sep 14, 2020 to Dec 4, 2021 · Phoenix, Az
V•••••• C•••••• M••••••••• I••• independent RIA
Jul 17, 2019 to Jan 24, 2020 · Phoenix, Az
K••••• A••••••• S•••••••• L•• BD affiliated
Jun 12, 2018 to Jan 11, 2019 · Phoenix, Az
S•••• W••••• P••••••• independent RIA
Jul 26, 2017 to Apr 5, 2018 · Gilbert, Az
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA
Feb 6, 2015 to Nov 20, 2017 · Scottsdale, Az
M•• F•••••••• S•••••••• I••• former
Aug 6, 2014 to Feb 17, 2015 · Tempe, Az
E••••• J•••• national BD
Dec 6, 2010 to Mar 27, 2014 · Tempe, Az

Moves

a registration end followed by a registration begin elsewhere

C•••••••• A•••••••• L•• to C••••• I••••••••• A••••••• L••
left Oct 27, 2023, registered Mar 21, 2024 (146 days) · RIA to affiliated broker-dealer or bank
P•• A••••••• to C•••••••• A•••••••• L••
left Dec 4, 2021, registered Dec 16, 2021 (12 days) · RIA to RIA
V•••••• C•••••• M••••••••• I••• to P•• A•••••••
left Jan 24, 2020, registered Sep 14, 2020 (234 days) · RIA to RIA
K••••• A••••••• S•••••••• L•• to V•••••• C•••••• M••••••••• I•••
left Jan 11, 2019, registered Jul 17, 2019 (187 days) · Affiliated broker-dealer or bank to independent RIA
S•••• W••••• P••••••• to K••••• A••••••• S•••••••• L••
left Apr 5, 2018, registered Jun 12, 2018 (68 days) · RIA to affiliated broker-dealer or bank
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to S•••• W••••• P•••••••
left Nov 20, 2017, registered Jul 26, 2017 (-117 days) · Other · moved with a team
M•• F•••••••• S•••••••• I••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••
left Feb 17, 2015, registered Feb 6, 2015 (-11 days) · Other
E••••• J•••• to M•• F•••••••• S•••••••• I•••
left Mar 27, 2014, registered Aug 6, 2014 (132 days) · Other

Signals

A••••• A•••••• F••••• left C•••••••• A•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-03-21)
Oct 27, 2023 · 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address