DFX Intelligence

RIA Intelligence

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Registered advisor

C•••••••• S•••••• C•••••••

A•••• F•••••••• P•••••••no RAUMPrescott, AzIA-onlyIAPD 6831228
Feed of 09/23/2026
Also filed as C•••••••• S•••••• C••••••••• S•••••• C••••••••• C•••••••
At current firm
0 y
since Sep 22, 2026
In the industry
12 y
since Feb 1, 2014 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
Signals
  • ••• Locked
    Sep 22, 2026 · Advisor registered · fact
  • ••• Locked
    Aug 31, 2026 · 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
No RAUM reportedderived
Years in industry
12derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address