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

D•••• R•••••• P•••••••

B••••• P••••• A•••••••• L••independent RIANewport Beach, Ca IA-onlyIAPD 1088267

Certified Financial Planner

Feed of 09/15/2026

Also filed as D•••• R P•••••••

At current firm

1 y

since Oct 25, 2024

In the industry

43 y

since Sep 1, 1983 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

B••••• P••••• A•••••••• L•• independent RIA current
since Oct 25, 2024 · Pasadena, Ca
B••••• A••••••• L•• former
Nov 1, 2024 to Dec 31, 2024 · Pasadena, Ca
A•••••••• A•••••••• L•• unclassified
Apr 30, 2020 to Oct 31, 2024 · Pasadena, Ca
A•• C••••••• L•• independent RIA
May 26, 2017 to Aug 17, 2020 · Pasadena, Ca
B••••• A••••••• L•• former
Oct 16, 2008 to Oct 31, 2024 · Pasadena, Ca
P•••••• A••••••••• A••••••• G••••• L•• former
Oct 15, 2007 to Sep 5, 2013 · Pasadena, Ca
P••••••• • A••••••••• I••• unclassified
Jul 9, 2002 to Nov 20, 2008 · Pasadna, Ca
S••••••••• S••••••••• I••• unclassified
Jan 8, 1999 to Aug 1, 2002 · Pasadena, Ca

Moves

a registration end followed by a registration begin elsewhere

B••••• A••••••• L•• to no registered destination
left Dec 31, 2024 · Departure, no registered destination
B••••• A••••••• L•• to A•• C••••••• L••
left Oct 31, 2024, registered May 26, 2017 (-2715 days) · RIA to RIA · moved with a team
A•••••••• A•••••••• L•• to B••••• P••••• A•••••••• L••
left Oct 31, 2024, registered Oct 25, 2024 (-6 days) · Other
A•• C••••••• L•• to A•••••••• A•••••••• L••
left Aug 17, 2020, registered Apr 30, 2020 (-109 days) · Other
P•••••• A••••••••• A••••••• G••••• L•• to B••••• A••••••• L••
left Sep 5, 2013, registered Oct 16, 2008 (-1785 days) · Other
P••••••• • A••••••••• I••• to P•••••• A••••••••• A••••••• G••••• L••
left Nov 20, 2008, registered Oct 15, 2007 (-402 days) · Other
S••••••••• S••••••••• I••• to P••••••• • A••••••••• I•••
left Aug 1, 2002, registered Jul 9, 2002 (-23 days) · Other

Signals

D•••• R•••••• P••••••• no longer registered at B••••• A••••••• L••; no later IA registration on IAPD
Dec 31, 2024 · Advisor departure · fact
D•••• R•••••• P••••••• left A•••••••• A•••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2024-10-25)
Oct 31, 2024 · Advisor changed firm · fact
D•••• R•••••• P••••••• left B••••• A••••••• L•• for A•• C••••••• L•• (registered 2017-05-26)
Oct 31, 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: 43derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address