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

C•••••• S•••••• C••••••

L•• F•••••••• L••BD affiliatedBuckeye, Az dual registrantIAPD 6290047

Feed of 09/15/2026

Also filed as C•••••• S•••••• C••••••

At current firm

1 y

since May 14, 2025

In the industry

12 y

since Jul 3, 2014 (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 14, 2025 · Tempe, Az
A••••••••• I••• BD affiliated
Sep 16, 2021 to Apr 24, 2025 · Phoenix, Az
A••••••••• I••• BD affiliated
Feb 7, 2019 to Oct 29, 2020 · Phoenix, Az
U••• I••••••••• S••••••• C•••••• no RAUM
Jan 8, 2018 to Jul 19, 2018 · San Antonio, Tx
U••• F•••••••• P••••••• S••••••• former
Mar 26, 2015 to Jan 8, 2018 · Phoenix, Az
C•••••• S••••• • C••• I••• national BD
Jul 4, 2014 to Feb 6, 2015 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

A••••••••• I••• to L•• F•••••••• L••
left Apr 24, 2025, registered May 14, 2025 (20 days) · Affiliated broker-dealer or bank to another
U••• I••••••••• S••••••• C•••••• to A••••••••• I•••
left Jul 19, 2018, registered Feb 7, 2019 (203 days) · Affiliated broker-dealer or bank to another
U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••
left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
C•••••• S••••• • C••• I••• to U••• F•••••••• P••••••• S•••••••
left Feb 6, 2015, registered Mar 26, 2015 (48 days) · Other

Signals

C•••••• S•••••• C•••••• left A••••••••• I••• for L•• F•••••••• L•• (registered 2025-05-14)
Apr 24, 2025 · 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address