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•••• M•••••• B••••••

T•• A•••••••• I•••BD affiliatedCosta Mesa, Ca dual registrantIAPD 1837011

Chartered Financial Consultant

Feed of 09/15/2026

At current firm

9 y

since Feb 15, 2017

In the industry

38 y

since Jun 21, 1988 (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

T•• A•••••••• I••• BD affiliated current
since Feb 15, 2017 · Summit, Nj
O•••• F•• I••• former
Apr 14, 2010 to Feb 8, 2012 · Newport Beach, Ca
J• P• T••••• • C•••••• C•••••• M••••••••• L•• former
Nov 3, 2008 to Mar 24, 2010 · Newport Beach, Ca
O•••• F•• I••• former
Dec 11, 2006 to Aug 22, 2008 · Newport Beach, Ca
L•••••• F•••••••• D••••••••• I••• unclassified
Jul 12, 2006 to Oct 16, 2006 · Hartford, Ct
O•••• F•• I••• former
Jun 20, 2002 to Jul 13, 2006 · Concord, Nh

Moves

a registration end followed by a registration begin elsewhere

O•••• F•• I••• to T•• A•••••••• I•••
left Feb 8, 2012, registered Feb 15, 2017 (1834 days) · Other
J• P• T••••• • C•••••• C•••••• M••••••••• L•• to O•••• F•• I•••
left Mar 24, 2010, registered Apr 14, 2010 (21 days) · Other
O•••• F•• I••• to J• P• T••••• • C•••••• C•••••• M••••••••• L••
left Aug 22, 2008, registered Nov 3, 2008 (73 days) · Other
L•••••• F•••••••• D••••••••• I••• to O•••• F•• I•••
left Oct 16, 2006, registered Dec 11, 2006 (56 days) · Other
O•••• F•• I••• to L•••••• F•••••••• D••••••••• I•••
left Jul 13, 2006, registered Jul 12, 2006 (-1 days) · Other

Signals

No dated event on this person.

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: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address