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.

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Registered advisor

A••••• D• C•••

I•• C••••••• L••independent RIASan Francisco, CaIA-onlyIAPD 6956714

Certified Financial Planner

Feed of 09/14/2026

Also filed as Austin Chau

At current firm

1 y

since Feb 28, 2025

In the industry

11 y

since Aug 1, 2015 (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

I•• C••••••• L•• independent RIA current
since Feb 28, 2025 · San Francisco, Ca
E••• C•••••• G••••• L•• former
Apr 21, 2023 to Feb 28, 2025 · San Francisco, Ca
L•• F•••••••• L•• BD affiliated
Oct 1, 2020 to Apr 10, 2023 · Menlo Park, Ca
E• R•••• I••••••••• L•• former
Jun 1, 2020 to Nov 6, 2020 · Menlo Park, Ca

Moves

a registration end followed by a registration begin elsewhere

E••• C•••••• G••••• L•• to I•• C••••••• L••
left Feb 28, 2025, registered Feb 28, 2025 (0 days) · channel change inside one enterprise, not a move · moved with a team
L•• F•••••••• L•• to E••• C•••••• G••••• L••
left Apr 10, 2023, registered Apr 21, 2023 (11 days) · Affiliated broker-dealer or bank to independent RIA
E• R•••• I••••••••• L•• to L•• F•••••••• L••
left Nov 6, 2020, registered Oct 1, 2020 (-36 days) · corporate re-registration, not a move

Signals

Austin D Chau left Lpl Financial Llc for Epiq Capital Group, Llc (registered 2023-04-21)
Apr 10, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address