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••••• M•• W••••

L•• F•••••••• L••BD affiliatedCitrus Heights, Cadual registrantIAPD 7484619

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as C••••• M•• W••••

At current firm

0 y

since Apr 6, 2026

In the industry

10 y

since Sep 1, 2016 (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

L•• F•••••••• L•• BD affiliated current
since Apr 6, 2026 · Citrus Heights, Ca
M•• I•••••••• S•••••••• L•• BD affiliated
Oct 23, 2025 to Feb 11, 2026 · Roseville, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 10, 2024 to Oct 14, 2025 · Sacramento, Ca
C••• F•••••••• S•••••••• L••• former
Aug 2, 2022 to Sep 25, 2024 · Citrus Heights, Ca

Moves

a registration end followed by a registration begin elsewhere

M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••
left Feb 11, 2026, registered Apr 6, 2026 (54 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• I•••••••• S•••••••• L••
left Oct 14, 2025, registered Oct 23, 2025 (9 days) · Wirehouse to affiliated broker-dealer or bank
C••• F•••••••• S•••••••• L••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 25, 2024, registered Oct 10, 2024 (15 days) · Affiliated broker-dealer or bank to wirehouse

Signals

C••••• M•• W•••• left M•• I•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2026-04-06)
Feb 11, 2026 · Advisor changed firm · fact
C••••• M•• W•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M•• I•••••••• S•••••••• L•• (registered 2025-10-23)
Oct 14, 2025 · Advisor changed firm · fact
C••••• M•• W•••• left C••• F•••••••• S•••••••• L••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-10-10)
Sep 25, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address