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••••••••• F•••••••• N••••••national BDWest Des Moines, Iadual registrantIAPD 6616444

Feed of 09/14/2026

Also filed as C•••••••• James S••••••

At current firm

1 y

since May 27, 2025

In the industry

10 y

since Mar 1, 2016 (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••••••••• F•••••••• N•••••• national BD current
since May 27, 2025 · West Des Moines, Ia
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 25, 2024 to May 16, 2025 · West Des Moines, Ia
P•••••••• S••••••••• I••• BD affiliated
May 1, 2023 to Apr 17, 2024 · Des Moines, Ia

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to C••••••••• F•••••••• N••••••
left May 16, 2025, registered May 27, 2025 (11 days) · Affiliated broker-dealer or bank to another
P•••••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••
left Apr 17, 2024, registered Jun 25, 2024 (69 days) · Affiliated broker-dealer or bank to another

Signals

C•••••••• S•••••• left C••••• I••••••••• A••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2025-05-27)
May 16, 2025 · Advisor changed firm · fact
C•••••••• S•••••• left P•••••••• S••••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-06-25)
Apr 17, 2024 · 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