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

R••••• A•• C•••••• S•••••

B••••• P••••• A•••••••• L••independent RIANewport Beach, Ca IA-onlyIAPD 6830605

Certified Financial Planner

Feed of 09/15/2026

Also filed as R••••• Ann C••••••

At current firm

1 y

since Jul 21, 2025

In the industry

10 y

since Jan 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

B••••• P••••• A•••••••• L•• independent RIA current
since Jul 21, 2025 · Glen Ellen, Ca
W••••••• W••••• P••••••• former
Jan 21, 2025 to Jul 8, 2025 · Glen Ellen, Ca
R•••••• J•••• • A••••••••• I••• national BD
Jan 18, 2023 to Jul 19, 2024 · Gainesville, Fl
T••••• A••••••• S•••••••• I••• BD affiliated
Feb 17, 2021 to Jan 24, 2023 · Richmond, Va
B••• S••••••••• L•• former
Dec 24, 2018 to Feb 17, 2021 · Richmond, Va

Moves

a registration end followed by a registration begin elsewhere

W••••••• W••••• P••••••• to B••••• P••••• A•••••••• L••
left Jul 8, 2025, registered Jul 21, 2025 (13 days) · RIA to RIA · moved with a team
R•••••• J•••• • A••••••••• I••• to W••••••• W••••• P•••••••
left Jul 19, 2024, registered Jan 21, 2025 (186 days) · Affiliated broker-dealer or bank to independent RIA
T••••• A••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••
left Jan 24, 2023, registered Jan 18, 2023 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move

Signals

R••••• A•• C•••••• S••••• left W••••••• W••••• P••••••• for B••••• P••••• A•••••••• L•• (registered 2025-07-21)
Jul 8, 2025 · Advisor changed firm · fact
R••••• A•• C•••••• S••••• left R•••••• J•••• • A••••••••• I••• for W••••••• W••••• P••••••• (registered 2025-01-21)
Jul 19, 2024 · Advisor changed firm · fact
R••••• A•• C•••••• S••••• left T••••• A••••••• S•••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2023-01-18)
Jan 24, 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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address