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

M•••••• P•••••• H••••

S•••••• F•••••••• G••••• L•••••independent RIAPasadena, Ca IA-onlyIAPD 1968086

Certified Financial Planner

Feed of 09/14/2026

At current firm

0 y

since Oct 16, 2025

In the industry

35 y

since Dec 7, 1990 (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

S•••••• F•••••••• G••••• L••••• independent RIA current
since Oct 16, 2025 · Pasadena, Ca
S••••••• F•••••••• G••••• I••• former
Apr 29, 2019 to Jun 30, 2026 · Pasadena, Ca
T•• S••••••• G•••• independent RIA
Nov 5, 1999 to Apr 29, 2019 · Pasadena, Ca
L•• F•••••••• L•• BD affiliated
Sep 24, 1998 to Dec 1, 2022 · Pasadena, Ca

Moves

a registration end followed by a registration begin elsewhere

S••••••• F•••••••• G••••• I••• to S•••••• F•••••••• G••••• L•••••
left Jun 30, 2026, registered Oct 16, 2025 (-257 days) · RIA to RIA · moved with a team
L•• F•••••••• L•• to T•• S••••••• G••••
left Dec 1, 2022, registered Nov 5, 1999 (-8427 days) · Other
T•• S••••••• G•••• to S••••••• F•••••••• G••••• I•••
left Apr 29, 2019, registered Apr 29, 2019 (0 days) · RIA to a newly registered adviser

Signals

M•••••• P•••••• H•••• left S••••••• F•••••••• G••••• I••• for S•••••• F•••••••• G••••• L••••• (registered 2025-10-16)
Jun 30, 2026 · Advisor changed firm · fact
M•••••• P•••••• H•••• left L•• F•••••••• L•• for T•• S••••••• G•••• (registered 1999-11-05)
Dec 1, 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: Independent wealth managerderived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address