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••••••••• F•••

B••••••• W••••• M•••••••••formerCosta Mesa, Ca IA-onlyIAPD 7337923

Feed of 09/14/2026

At current firm

0 y

since Mar 12, 2026

In the industry

12 y

since Jul 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

B••••••• W••••• M••••••••• former current
since Mar 12, 2026 · Garden Grove, Ca
O•••• W•••••• I••• BD affiliated
Nov 13, 2025 to Feb 17, 2026 · Gahanna, Oh
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Mar 26, 2024 to Nov 20, 2025 · Garden Grove, Ca

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to B••••••• W••••• M•••••••••
left Feb 17, 2026, registered Mar 12, 2026 (23 days) · Affiliated broker-dealer or bank to independent RIA
C•••••••• I••••••••• R••••••• A•••••••• I••• to O•••• W•••••• I•••
left Nov 20, 2025, registered Nov 13, 2025 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team

Signals

C••••••••• F••• left O•••• W•••••• I••• for B••••••• W••••• M••••••••• (registered 2026-03-12)
Feb 17, 2026 · Advisor changed firm · fact
C••••••••• F••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for O•••• W•••••• I••• (registered 2025-11-13)
Nov 20, 2025 · 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: Former SEC-registered adviserderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address