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

A••••• D•••• P••••

S•••••••• A••••••• L••national BDLone Tree, Co dual registrantIAPD 6880670

Feed of 09/15/2026

Also filed as Arthur Perez

At current firm

1 y

since Mar 31, 2025

In the industry

14 y

since Feb 1, 2012 (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

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Lone Tree, Co
F••••••• P••••••• A•• W•••••••• A••••••• former
Apr 21, 2023 to Mar 31, 2025 · Lone Tree, Co
F••••• I••••••••• independent RIA
Feb 15, 2022 to Jan 19, 2023 · Plano, Tx
J••• M••••• S••••••••• L•• wirehouse
Dec 26, 2019 to Feb 2, 2022 · Littleton, Co
E•••••••• A•••••••• L•• national BD
Aug 28, 2018 to Apr 23, 2019 · Lansing, Ks

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
F••••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jan 19, 2023, registered Apr 21, 2023 (92 days) · RIA to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to F••••• I•••••••••
left Feb 2, 2022, registered Feb 15, 2022 (13 days) · Wirehouse to independent RIA
E•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••
left Apr 23, 2019, registered Dec 26, 2019 (247 days) · Affiliated broker-dealer or bank to wirehouse

Signals

A••••• D•••• P•••• left F••••• I••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-04-21)
Jan 19, 2023 · Advisor changed firm · fact
A••••• D•••• P•••• left J••• M••••• S••••••••• L•• for F••••• I••••••••• (registered 2022-02-15)
Feb 2, 2022 · 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address