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•••••••• R•••• A••••••

L•• F•••••••• L••BD affiliatedTracy, Cadual registrantIAPD 5609785

Feed of 09/14/2026

Also filed as A•••••••• A••••••

At current firm

0 y

since May 26, 2026

In the industry

17 y

since Jan 2, 2009 (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

L•• F•••••••• L•• BD affiliated current
since May 26, 2026 · Tracy, Ca
W•••• F•••• A••••••• wirehouse
Apr 26, 2011 to Jun 3, 2026 · Santa Rosa, Ca
C•••• I••••••••• S••••••• C•••• former
Aug 31, 2010 to Apr 26, 2011 · Tracy, Ca
W•••• F•••• I••••••••• L•• unclassified
Dec 18, 2009 to Aug 30, 2010 · Tracy, Ca
E••••• J•••• national BD
Jan 6, 2009 to Apr 15, 2009 · Tracy, Ca

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to L•• F•••••••• L••
left Jun 3, 2026, registered May 26, 2026 (-8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••
left Apr 26, 2011, registered Apr 26, 2011 (0 days) · Other
W•••• F•••• I••••••••• L•• to C•••• I••••••••• S••••••• C••••
left Aug 30, 2010, registered Aug 31, 2010 (1 days) · Other
E••••• J•••• to W•••• F•••• I••••••••• L••
left Apr 15, 2009, registered Dec 18, 2009 (247 days) · Other

Signals

A•••••••• R•••• A•••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2026-05-26)
Jun 3, 2026 · 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