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

N••••• A•••• R•••••

C•••• W••••• M••••••••• L••state registeredSan Francisco, CaIA-onlyIAPD 6097347

Feed of 09/14/2026

At current firm

0 y

since Oct 1, 2025

In the industry

14 y

since Sep 6, 2012 (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•••• W••••• M••••••••• L•• state registered current
since Oct 1, 2025 · San Francisco, Ca
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Sep 11, 2025 · Walnut Creek, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Mar 24, 2023 to Mar 31, 2025 · Walnut Creek, Ca
E•••••• C•••••• M••••••••• L•• former
Oct 15, 2014 to Jan 31, 2023 · San Francisco, Ca
M••••• S•••••• wirehouse
Sep 7, 2012 to May 14, 2014 · Walnut Creek, Ca

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to C•••• W••••• M••••••••• L••
left Sep 11, 2025, registered Oct 1, 2025 (20 days) · Affiliated broker-dealer or bank to a state-registered adviser
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jan 31, 2023, registered Mar 24, 2023 (52 days) · RIA to affiliated broker-dealer or bank · moved with a team
M••••• S•••••• to E•••••• C•••••• M••••••••• L••
left May 14, 2014, registered Oct 15, 2014 (154 days) · Other

Signals

N••••• A•••• R••••• left S•••••••• A••••••• L•• for C•••• W••••• M••••••••• L•• (registered 2025-10-01)
Sep 11, 2025 · Advisor changed firm · fact
N••••• A•••• R••••• left E•••••• C•••••• M••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-03-24)
Jan 31, 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: STATE REGISTEREDderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address