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

T•••• A••••• B•••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedSan Ramon, Cadual registrantIAPD 6889122

Feed of 09/14/2026

Also filed as T•••• A••••• B•••••

At current firm

3 y

since May 31, 2023

In the industry

11 y

since Oct 1, 2014 (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

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since May 31, 2023 · San Ramon, Ca
S••••••• F•••••••• S•••••••• I••• former
Oct 19, 2022 to May 31, 2023 · San Ramon, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Apr 6, 2021 to Oct 3, 2022 · Roseville, Ca
M••••• S•••••• wirehouse
Oct 29, 2019 to Mar 24, 2021 · San Francisco, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 10, 2018 to Oct 22, 2019 · Oakland, Ca

Moves

a registration end followed by a registration begin elsewhere

S••••••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left May 31, 2023, registered May 31, 2023 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
A••••••••• F•••••••• S•••••••• L•• to S••••••• F•••••••• S•••••••• I•••
left Oct 3, 2022, registered Oct 19, 2022 (16 days) · Affiliated broker-dealer or bank to independent RIA
M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••
left Mar 24, 2021, registered Apr 6, 2021 (13 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Oct 22, 2019, registered Oct 29, 2019 (7 days) · Wirehouse to wirehouse · moved with a team

Signals

T•••• A••••• B••••• left S••••••• F•••••••• S•••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-05-31)
May 31, 2023 · Advisor changed firm · fact
T•••• A••••• B••••• left A••••••••• F•••••••• S•••••••• L•• for S••••••• F•••••••• S•••••••• I••• (registered 2022-10-19)
Oct 3, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address