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••• D•••••

J••• M••••• S••••••••• L••wirehouseNewport Beach, Ca dual registrantIAPD 1629239

Feed of 09/15/2026

At current firm

2 y

since May 10, 2024

In the industry

30 y

since May 16, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••• M••••• S••••••••• L•• wirehouse current
since May 10, 2024 · Los Angeles, Ca
J••• M••••• P•••••• W••••• A••••••• L•• former
Jun 30, 2017 to Jul 13, 2017 · Los Angeles, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 6, 2012 to May 13, 2024 · Los Angeles, Ca
W•••• F•••• I••••••••• L•• unclassified
Mar 16, 2010 to Jan 7, 2011 · El Segundo, Ca
C••••• S••••• S••••••••• •••• L•• former
Oct 16, 2008 to Mar 23, 2010 · Los Angeles, Ca
W•••• F•••• A••••••• wirehouse
Feb 24, 2006 to Feb 27, 2008 · Los Angeles, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Mar 10, 2003 to Mar 8, 2006 · Century City, Ca
M••••• S•••••• D• I••• unclassified
Nov 2, 1998 to Feb 27, 2003 · Glendale, Ca

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••
left May 13, 2024, registered Jun 30, 2017 (-2509 days) · Other
J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••
left Jul 13, 2017, registered May 10, 2024 (2493 days) · Other
W•••• F•••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 7, 2011, registered Dec 6, 2012 (699 days) · Other
C••••• S••••• S••••••••• •••• L•• to W•••• F•••• I••••••••• L••
left Mar 23, 2010, registered Mar 16, 2010 (-7 days) · Other
W•••• F•••• A••••••• to C••••• S••••• S••••••••• •••• L••
left Feb 27, 2008, registered Oct 16, 2008 (232 days) · Other
C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••
left Mar 8, 2006, registered Feb 24, 2006 (-12 days) · Other
M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••
left Feb 27, 2003, registered Mar 10, 2003 (11 days) · Other

Signals

I••• D••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• P•••••• W••••• A••••••• L•• (registered 2017-06-30)
May 13, 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address