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

C•••••• S•••••••

F••••• I•••••••••independent RIAPlano, TxIA-onlyIAPD 7090192

Feed of 09/14/2026

Also filed as Charley S•••••••

At current firm

0 y

since Oct 27, 2025

In the industry

10 y

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

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F••••• I••••••••• independent RIA current
since Oct 27, 2025 · Plano, Tx
M••••• W••••• M••••••••• I••• independent RIA
Apr 29, 2022 to Jul 7, 2025 · Anaheim, Ca
A• W••••• M••••••••• L•• BD affiliated
Dec 10, 2020 to Aug 2, 2022 · Anaheim, Ca
V••••• A•••• M••••••••• independent RIA
Aug 31, 2020 to Feb 3, 2021 · Durham, Nc
A• W••••• M••••••••• L•• BD affiliated
May 30, 2019 to Sep 4, 2020 · Anaheim, Ca

Moves

a registration end followed by a registration begin elsewhere

M••••• W••••• M••••••••• I••• to F••••• I•••••••••
left Jul 7, 2025, registered Oct 27, 2025 (112 days) · RIA to RIA
A• W••••• M••••••••• L•• to M••••• W••••• M••••••••• I•••
left Aug 2, 2022, registered Apr 29, 2022 (-95 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
V••••• A•••• M••••••••• to A• W••••• M••••••••• L••
left Feb 3, 2021, registered Dec 10, 2020 (-55 days) · RIA to RIA
A• W••••• M••••••••• L•• to V••••• A•••• M•••••••••
left Sep 4, 2020, registered Aug 31, 2020 (-4 days) · RIA to RIA

Signals

C•••••• S••••••• left M••••• W••••• M••••••••• I••• for F••••• I••••••••• (registered 2025-10-27)
Jul 7, 2025 · Advisor changed firm · fact
C•••••• S••••••• left A• W••••• M••••••••• L•• for M••••• W••••• M••••••••• I••• (registered 2022-04-29)
Aug 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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address