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••••• C•••• H•••••••••

C••• L••BD affiliatedIrvine, Ca IA-onlyIAPD 1279547

Feed of 09/15/2026

At current firm

8 y

since Jul 17, 2018

In the industry

40 y

since Jan 3, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••• L•• BD affiliated current
since Jul 17, 2018 · Irvine, Ca
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Jul 15, 2026 · Irvine, Ca
C••••••• P••••••• I••••••••• A•••••••• L•• i••••••••• manager
Apr 29, 2005 to Jul 23, 2014 · Irvine, Ca
C••••• A•••••• N••••••• L•• former
Aug 12, 2004 to Jun 29, 2023 · Irvine, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Jul 31, 1993 to Aug 24, 2004 · Laguna Niguel, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to no registered destination
left Jul 15, 2026 · Departure, no registered destination
C••••• A•••••• N••••••• L•• to C••••••• P••••••• I••••••••• A•••••••• L••
left Jun 29, 2023, registered Apr 29, 2005 (-6635 days) · Other · moved with a team
C••••••• P••••••• I••••••••• A•••••••• L•• to C••• L••
left Jul 23, 2014, registered Jul 17, 2018 (1455 days) · Other
C•••••••• G••••• M•••••• I••• to C••••• A•••••• N••••••• L••
left Aug 24, 2004, registered Aug 12, 2004 (-12 days) · Other

Signals

S••••• C•••• H••••••••• no longer registered at C••••• I••••••••• A••••••• L••; no later IA registration on IAPD
Jul 15, 2026 · a•••••• departure · fact
S••••• C•••• H••••••••• left C••••• A•••••• N••••••• L•• for C••••••• P••••••• I••••••••• A•••••••• L•• (registered 2005-04-29)
Jun 29, 2023 · a•••••• firm change · 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: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address