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

R••• C••••••••• O••••

I•• C••••••• L••independent RIAFoster City, CaIA-onlyIAPD 7359489

Chartered Financial Analyst

Feed of 09/14/2026

Also filed as R••• O••••

At current firm

0 y

since Dec 5, 2025

In the industry

12 y

since Aug 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

I•• C••••••• L•• independent RIA current
since Dec 5, 2025 · Foster City, Ca
C•••••• A•••• M••••••••• L•• independent RIA
Apr 19, 2024 to Aug 21, 2025 · San Francisco, Ca
J••• M••••• S••••••••• L•• wirehouse
Mar 8, 2024 to Apr 20, 2024 · San Francisco, Ca
J••• M••••• P•••••• W••••• A••••••• L•• former
Jul 26, 2021 to Apr 22, 2024 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••• A•••• M••••••••• L•• to I•• C••••••• L••
left Aug 21, 2025, registered Dec 5, 2025 (106 days) · RIA to RIA
J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••
left Apr 22, 2024, registered Mar 8, 2024 (-45 days) · corporate re-registration, not a move
J••• M••••• S••••••••• L•• to C•••••• A•••• M••••••••• L••
left Apr 20, 2024, registered Apr 19, 2024 (-1 days) · Wirehouse to independent RIA · moved with a team

Signals

R••• C••••••••• O•••• left C•••••• A•••• M••••••••• L•• for I•• C••••••• L•• (registered 2025-12-05)
Aug 21, 2025 · Advisor changed firm · fact
R••• C••••••••• O•••• left J••• M••••• S••••••••• L•• for C•••••• A•••• M••••••••• L•• (registered 2024-04-19)
Apr 20, 2024 · 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address