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•••••• S••••• • C••• I•••national BDHenderson, Nvdual registrantIAPD 6517054

Feed of 09/14/2026

Also filed as C•••••••• S•••••••••

At current firm

0 y

since Nov 18, 2025

In the industry

10 y

since Jun 27, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, 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•••••• S••••• • C••• I••• national BD current
since Nov 18, 2025 · Henderson, Nv
W•••• F•••• A••••••• wirehouse
Oct 17, 2023 to Nov 13, 2025 · Las Vegas, Nv
F••••••• P••••••• A•• W•••••••• A••••••• former
Feb 27, 2020 to Jan 31, 2022 · Henderson, Nv
T• A••••••••• I••• former
Mar 8, 2018 to Feb 3, 2020 · Henderson, Nv
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Feb 3, 2020 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Feb 28, 2017 to Feb 26, 2018 · Saint Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••
left Nov 13, 2025, registered Nov 18, 2025 (5 days) · Wirehouse to affiliated broker-dealer or bank
F••••••• P••••••• A•• W•••••••• A••••••• to W•••• F•••• A•••••••
left Jan 31, 2022, registered Oct 17, 2023 (624 days) · Affiliated broker-dealer or bank to wirehouse
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Feb 3, 2020, registered Mar 8, 2018 (-697 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Feb 3, 2020, registered Feb 27, 2020 (24 days) · Other
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move

Signals

C•••••••• S••••••••• left W•••• F•••• A••••••• for C•••••• S••••• • C••• I••• (registered 2025-11-18)
Nov 13, 2025 · Advisor changed firm · fact
C•••••••• S••••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for W•••• F•••• A••••••• (registered 2023-10-17)
Jan 31, 2022 · 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: National broker-dealer RIAderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address