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

S••••• A••••• A•••••••

W•••• F•••• A•••••••wirehouseWestlake Village, Cadual registrantIAPD 1141875

Feed of 09/14/2026

At current firm

3 y

since Oct 17, 2022

In the industry

29 y

since Jul 8, 1997 (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

W•••• F•••• A••••••• wirehouse current
since Oct 17, 2022 · Westlake Village, Ca
D••• D••••••• • C•• independent RIA
Nov 25, 2013 to Sep 26, 2022 · Santa Barbara, Ca
C•••••• W••••• • C•• former
Nov 4, 2013 to Nov 25, 2013 · Santa Barbara, Ca
C••••••• W••••• • C•• former
Jan 21, 2010 to Nov 4, 2013 · Santa Barbara, Ca
M••••• S•••••• wirehouse
Jun 1, 2009 to Jan 27, 2010 · Santa Barbara, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Jul 8, 1997 to Jun 1, 2009 · Santa Barbara, Ca

Moves

a registration end followed by a registration begin elsewhere

D••• D••••••• • C•• to W•••• F•••• A•••••••
left Sep 26, 2022, registered Oct 17, 2022 (21 days) · RIA to wirehouse
C•••••• W••••• • C•• to D••• D••••••• • C••
left Nov 25, 2013, registered Nov 25, 2013 (0 days) · corporate re-registration, not a move
C••••••• W••••• • C•• to C•••••• W••••• • C••
left Nov 4, 2013, registered Nov 4, 2013 (0 days) · corporate re-registration, not a move
M••••• S•••••• to C••••••• W••••• • C••
left Jan 27, 2010, registered Jan 21, 2010 (-6 days) · Other
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

S••••• A••••• A••••••• left D••• D••••••• • C•• for W•••• F•••• A••••••• (registered 2022-10-17)
Sep 26, 2022 · 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address