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•••••• M•••••• A•••••

A••••••• F••••••••• L•••BD affiliatedFolsom, Ca dual registrantIAPD 6678578

Certified Financial Planner

Feed of 09/15/2026

Also filed as C•••••• M•••••• A•••••

At current firm

1 y

since Dec 11, 2024

In the industry

15 y

since Jan 1, 2011 (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

A••••••• F••••••••• L••• BD affiliated current
since Dec 11, 2024 · Addison, Tx
J••• M••••• S••••••••• L•• wirehouse
Sep 13, 2019 to Dec 8, 2024 · Plano, Tx
L•• F•••••••• L•• BD affiliated
Nov 29, 2017 to Aug 17, 2018 · Irving, Tx
R•••••••• A••••••• S•••••••• L••• former
Jul 11, 2017 to May 17, 2019 · Fort Worth, Tx
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Jan 6, 2017 to Nov 29, 2017 · Forth Worth, Tx

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to A••••••• F••••••••• L•••
left Dec 8, 2024, registered Dec 11, 2024 (3 days) · Wirehouse to affiliated broker-dealer or bank
R•••••••• A••••••• S•••••••• L••• to L•• F•••••••• L••
left May 17, 2019, registered Nov 29, 2017 (-534 days) · RIA to RIA
L•• F•••••••• L•• to J••• M••••• S••••••••• L••
left Aug 17, 2018, registered Sep 13, 2019 (392 days) · RIA to wirehouse
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to R•••••••• A••••••• S•••••••• L•••
left Nov 29, 2017, registered Jul 11, 2017 (-141 days) · Other · moved with a team

Signals

C•••••• M•••••• A••••• left J••• M••••• S••••••••• L•• for A••••••• F••••••••• L••• (registered 2024-12-11)
Dec 8, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address