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••• W•••

W•••• F•••• A•••••••wirehouseWest Covina, Ca dual registrantIAPD 7784335

Feed of 09/15/2026

At current firm

0 y

since Aug 3, 2026

In the industry

12 y

since Mar 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Aug 3, 2026 · Pasadena, Ca
C••••• I••••••••• A••••••• L•• BD affiliated
Oct 1, 2025 to Jun 16, 2026 · Rosemead, Ca
H••• S••••••••• •••• I••• BD affiliated
Dec 26, 2024 to Sep 22, 2025 · Irvine, Ca
A•••••• A••••••• S••••••• former
Aug 4, 2023 to Jan 17, 2024 · Fullerton, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to W•••• F•••• A•••••••
left Jun 16, 2026, registered Aug 3, 2026 (48 days) · Affiliated broker-dealer or bank to wirehouse
H••• S••••••••• •••• I••• to C••••• I••••••••• A••••••• L••
left Sep 22, 2025, registered Oct 1, 2025 (9 days) · Affiliated broker-dealer or bank to another
A•••••• A••••••• S••••••• to H••• S••••••••• •••• I•••
left Jan 17, 2024, registered Dec 26, 2024 (344 days) · Affiliated broker-dealer or bank to another

Signals

C••• W••• left C••••• I••••••••• A••••••• L•• for W•••• F•••• A••••••• (registered 2026-08-03)
Jun 16, 2026 · Advisor changed firm · fact
C••• W••• left H••• S••••••••• •••• I••• for C••••• I••••••••• A••••••• L•• (registered 2025-10-01)
Sep 22, 2025 · Advisor changed firm · fact
C••• W••• left A•••••• A••••••• S••••••• for H••• S••••••••• •••• I••• (registered 2024-12-26)
Jan 17, 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: Wirehousederived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address