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

B•••• O••••

C•••••• S••••• • C••• I•••national BDOakland, Cadual registrantIAPD 7009949

Feed of 09/14/2026

Also filed as B•••• O••••

At current firm

1 y

since Apr 23, 2025

In the industry

12 y

since Feb 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, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Apr 23, 2025 · Oakland, Ca
F••••• I••••••••• independent RIA
Feb 21, 2022 to Feb 27, 2024 · Plano, Tx
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Feb 10, 2022 · Irvine, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Nov 18, 2019 to Feb 10, 2022 · Southlake, Tx
T• A••••••••• I••• former
Nov 18, 2019 to Feb 10, 2022 · Westlake, Tx

Moves

a registration end followed by a registration begin elsewhere

F••••• I••••••••• to C•••••• S••••• • C••• I•••
left Feb 27, 2024, registered Apr 23, 2025 (421 days) · RIA to affiliated broker-dealer or bank
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Feb 10, 2022, registered Jan 26, 2022 (-15 days) · channel change inside one enterprise, not a move
C•••••• S••••• • C••• I••• to F••••• I•••••••••
left Feb 10, 2022, registered Feb 21, 2022 (11 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 10, 2022, registered Nov 18, 2019 (-815 days) · channel change inside one enterprise, not a move

Signals

B•••• O•••• left F••••• I••••••••• for C•••••• S••••• • C••• I••• (registered 2025-04-23)
Feb 27, 2024 · Advisor changed firm · fact
B•••• O•••• left C•••••• S••••• • C••• I••• for F••••• I••••••••• (registered 2022-02-21)
Feb 10, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address