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•••• S•••••• S•••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedHercules, Cadual registrantIAPD 6388621

Feed of 09/14/2026

Also filed as S•••••• S•••••

At current firm

1 y

since May 19, 2025

In the industry

12 y

since Sep 1, 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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since May 19, 2025 · Hercules, Ca
C••••••••• F•••••••• N•••••• national BD
Jan 5, 2023 to May 21, 2025 · San Diego, Ca
L•• F•••••••• L•• BD affiliated
Nov 6, 2019 to Jan 20, 2023 · Hercules, Ca
E••••• J•••• national BD
Mar 19, 2015 to Nov 8, 2019 · Hercules, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left May 21, 2025, registered May 19, 2025 (-2 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to C••••••••• F•••••••• N••••••
left Jan 20, 2023, registered Jan 5, 2023 (-15 days) · RIA to affiliated broker-dealer or bank
E••••• J•••• to L•• F•••••••• L••
left Nov 8, 2019, registered Nov 6, 2019 (-2 days) · Affiliated broker-dealer or bank to another

Signals

S•••• S•••••• S••••• left C••••••••• F•••••••• N•••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-05-19)
May 21, 2025 · Advisor changed firm · fact
S•••• S•••••• S••••• left L•• F•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2023-01-05)
Jan 20, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address