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

P•••• C•••

C••••• I••••••••• A••••••• L••BD affiliatedEl Monte, Ca dual registrantIAPD 6125403

Feed of 09/15/2026

Also filed as P•••• Chi Bun C•••

At current firm

1 y

since Nov 19, 2024

In the industry

13 y

since Nov 30, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

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 Nov 19, 2024 · El Monte, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Sep 18, 2023 to Nov 27, 2024 · Fountain Valley, Ca
C••••• I••••••••• A••••••• L•• BD affiliated
Aug 15, 2018 to Sep 15, 2023 · Monterey Park, Ca
U••• B•••••• I••••••••• I••• former
Feb 27, 2017 to Aug 14, 2018 · Arcadia, Ca
E••••• J•••• national BD
Jul 24, 2015 to Feb 27, 2017 · Whittier, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to C••••• I••••••••• A••••••• L••
left Nov 27, 2024, registered Nov 19, 2024 (-8 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to C•••••••• G••••• M•••••• I•••
left Sep 15, 2023, registered Sep 18, 2023 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
U••• B•••••• I••••••••• I••• to C••••• I••••••••• A••••••• L••
left Aug 14, 2018, registered Aug 15, 2018 (1 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to U••• B•••••• I••••••••• I•••
left Feb 27, 2017, registered Feb 27, 2017 (0 days) · Other

Signals

P•••• C••• left C•••••••• G••••• M•••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-11-19)
Nov 27, 2024 · Advisor changed firm · fact
P•••• C••• left C••••• I••••••••• A••••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2023-09-18)
Sep 15, 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address