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

E••• F• C••••

W•••• F•••• A•••••••wirehouseSan Francisco, Ca dual registrantIAPD 6565031

Feed of 09/15/2026

Also filed as E••• C••••

At current firm

2 y

since Aug 16, 2024

In the industry

11 y

since Sep 1, 2015 (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

W•••• F•••• A••••••• wirehouse current
since Aug 16, 2024 · Walnut Creek, Ca
R•••••• J•••• • A••••••••• I••• national BD
Jan 10, 2023 to Aug 23, 2024 · Walnut Creek, Ca
O••••••••• • C•• I••• BD affiliated
Apr 1, 2021 to Jan 13, 2023 · San Francisco, Ca
J••• M••••• S••••••••• L•• wirehouse
Oct 24, 2019 to Mar 30, 2021 · Concord, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 24, 2016 to Aug 26, 2019 · Oakland, Ca

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••
left Aug 23, 2024, registered Aug 16, 2024 (-7 days) · Affiliated broker-dealer or bank to wirehouse
O••••••••• • C•• I••• to R•••••• J•••• • A••••••••• I•••
left Jan 13, 2023, registered Jan 10, 2023 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
J••• M••••• S••••••••• L•• to O••••••••• • C•• I•••
left Mar 30, 2021, registered Apr 1, 2021 (2 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
left Aug 26, 2019, registered Oct 24, 2019 (59 days) · Wirehouse to wirehouse · moved with a team

Signals

E••• F• C•••• left R•••••• J•••• • A••••••••• I••• for W•••• F•••• A••••••• (registered 2024-08-16)
Aug 23, 2024 · Advisor changed firm · fact
E••• F• C•••• left O••••••••• • C•• I••• for R•••••• J•••• • A••••••••• I••• (registered 2023-01-10)
Jan 13, 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: Wirehousederived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address