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

I••••• S••••••••• Y••

D••••••••• W••••• M•••••••••independent RIAWalnut Creek, CaIA-onlyIAPD 7522569

Feed of 09/14/2026

At current firm

1 y

since May 1, 2025

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

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

D••••••••• W••••• M••••••••• independent RIA current
since May 1, 2025 · Walnut Creek, Ca
K••••• A••••••• S•••••••• L•• BD affiliated
Jun 24, 2024 to Oct 31, 2024 · San Jose, Ca
M•••••• BD affiliated
Dec 21, 2022 to Jun 25, 2024 · San Jose, Ca
H•••• F••••••••• I••• former
Dec 16, 2022 to Feb 7, 2023 · San Jose, Ca

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to D••••••••• W••••• M•••••••••
left Oct 31, 2024, registered May 1, 2025 (182 days) · Affiliated broker-dealer or bank to independent RIA
M•••••• to K••••• A••••••• S•••••••• L••
left Jun 25, 2024, registered Jun 24, 2024 (-1 days) · Affiliated broker-dealer or bank to another
H•••• F••••••••• I••• to M••••••
left Feb 7, 2023, registered Dec 21, 2022 (-48 days) · RIA to affiliated broker-dealer or bank · moved with a team

Signals

I••••• S••••••••• Y•• left K••••• A••••••• S•••••••• L•• for D••••••••• W••••• M••••••••• (registered 2025-05-01)
Oct 31, 2024 · Advisor changed firm · fact
I••••• S••••••••• Y•• left Mariner for K••••• A••••••• S•••••••• L•• (registered 2024-06-24)
Jun 25, 2024 · Advisor changed firm · fact
I••••• S••••••••• Y•• left H•••• F••••••••• I••• for Mariner (registered 2022-12-21)
Feb 7, 2023 · 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