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.
Feed of 09/14/2026
At current firm
2 y
since Dec 8, 2023
In the industry
14 y
since Aug 1, 2012 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Sharebuilder 401k no RAUM currentsince Dec 8, 2023 · Seattle, Wa
- Charles Schwab & Co., Inc. national BDJul 11, 2019 to May 28, 2021 · Fort Worth, Tx
- Capital One Advisors, LLC formerNov 6, 2013 to Jul 8, 2019 · Mclean, Va
Moves
a registration end followed by a registration begin elsewhere
- Charles Schwab & Co., Inc. to Sharebuilder 401kleft May 28, 2021, registered Dec 8, 2023 (924 days) · Other
- Capital One Advisors, LLC to Charles Schwab & Co., Inc.left Jul 8, 2019, registered Jul 11, 2019 (3 days) · Other
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
- No RAUM reportedderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address