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••• D•••• A•••••••••

S••••• W••••• A•••••••• I•••no RAUMBellevue, Wadual registrantIAPD 6394890

Chartered Financial Analyst

Feed of 09/14/2026

At current firm

1 y

since Sep 4, 2025

In the industry

12 y

since Aug 19, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••••• W••••• A•••••••• I••• no RAUM current
since Sep 4, 2025 · Bellevue, Wa
F••••• I••••••••• independent RIA
Mar 13, 2024 to Jul 1, 2025 · Plano, Tx
W••••• F•••••••• independent RIA
Apr 9, 2021 to Sep 22, 2023 · Las Vegas, Nv
H•• W••••• A••••••• independent RIA
Apr 15, 2015 to Jun 11, 2021 · Los Angeles, Ca
C••••••••• W•••••• L•• independent RIA
Sep 9, 2014 to Mar 16, 2015 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

F••••• I••••••••• to S••••• W••••• A•••••••• I•••
left Jul 1, 2025, registered Sep 4, 2025 (65 days) · Other
W••••• F•••••••• to F••••• I•••••••••
left Sep 22, 2023, registered Mar 13, 2024 (173 days) · RIA to RIA
H•• W••••• A••••••• to W••••• F••••••••
left Jun 11, 2021, registered Apr 9, 2021 (-63 days) · RIA to a newly registered adviser
C••••••••• W•••••• L•• to H•• W••••• A•••••••
left Mar 16, 2015, registered Apr 15, 2015 (30 days) · Other

Signals

C••• D•••• A••••••••• left F••••• I••••••••• for S••••• W••••• A•••••••• I••• (registered 2025-09-04)
Jul 1, 2025 · Advisor changed firm · fact
C••• D•••• A••••••••• left W••••• F•••••••• for F••••• I••••••••• (registered 2024-03-13)
Sep 22, 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: No RAUM reportedderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address