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

S••• R•••••

O•••• W•••••• I•••BD affiliatedTracy, Cadual registrantIAPD 6180525

Feed of 09/14/2026

At current firm

1 y

since Sep 26, 2024

In the industry

13 y

since Jun 7, 2013 (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

O•••• W•••••• I••• BD affiliated current
since Sep 26, 2024 · Tracy, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 12, 2021 to Sep 26, 2024 · Stockton, Ca
E••••• J•••• national BD
Aug 19, 2016 to Feb 16, 2021 · Tracy, Ca
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Oct 13, 2015 to Sep 12, 2016 · Logan, Ut
A•••••• I••••••••• A•••••••• L•• former
Aug 6, 2015 to Sep 29, 2015 · Logan, Ut
E••••• J•••• national BD
Jun 12, 2013 to Jul 30, 2015 · Lahaina, Hi

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••• W•••••• I•••
left Sep 26, 2024, registered Sep 26, 2024 (0 days) · Wirehouse to affiliated broker-dealer or bank
E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 16, 2021, registered Feb 12, 2021 (-4 days) · Affiliated broker-dealer or bank to wirehouse
C•••••••• I••••••••• R••••••• A•••••••• I••• to E••••• J••••
left Sep 12, 2016, registered Aug 19, 2016 (-24 days) · Other
A•••••• I••••••••• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Sep 29, 2015, registered Oct 13, 2015 (14 days) · Other
E••••• J•••• to A•••••• I••••••••• A•••••••• L••
left Jul 30, 2015, registered Aug 6, 2015 (7 days) · Other

Signals

S••• R••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for O•••• W•••••• I••• (registered 2024-09-26)
Sep 26, 2024 · 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