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

Y•• B••

C••••• I••••••••• A••••••• L••BD affiliatedCity Of Industry, Cadual registrantIAPD 7071113

Feed of 09/14/2026

Also filed as Y•• B••

At current firm

1 y

since Aug 19, 2025

In the industry

9 y

since Oct 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Aug 19, 2025 · City Of Industry, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Jul 18, 2023 to Aug 29, 2025 · Fresno, Ca
U•• F•••••••• S••••••• I••• wirehouse
Jul 19, 2022 to Jul 10, 2023 · Brea, Ca
W•••• F•••• A••••••• wirehouse
Aug 30, 2021 to Jul 7, 2022 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to C••••• I••••••••• A••••••• L••
left Aug 29, 2025, registered Aug 19, 2025 (-10 days) · Affiliated broker-dealer or bank to another
U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••
left Jul 10, 2023, registered Jul 18, 2023 (8 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••
left Jul 7, 2022, registered Jul 19, 2022 (12 days) · Wirehouse to wirehouse · moved with a team

Signals

Y•• B•• left C•••••••• G••••• M•••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2025-08-19)
Aug 29, 2025 · Advisor changed firm · fact
Y•• B•• left U•• F•••••••• S••••••• I••• for C•••••••• G••••• M•••••• I••• (registered 2023-07-18)
Jul 10, 2023 · Advisor changed firm · fact
Y•• B•• left W•••• F•••• A••••••• for U•• F•••••••• S••••••• I••• (registered 2022-07-19)
Jul 7, 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: 9derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address