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

D•••• B•••• D••••••••

L•••independent RIALos Angeles, Ca IA-onlyIAPD 2043611

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/15/2026

Also filed as D•••• D••••••••

At current firm

1 y

since Jun 13, 2025

In the industry

29 y

since Oct 7, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L••• independent RIA current
since Jun 13, 2025 · Los Angeles, Ca
C••••••••• F•••••••• former
Apr 16, 2007 to Jul 25, 2025 · Scottsdale, Az
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Apr 1, 2005 to Aug 5, 2011 · Scottsdale, Az
C••••••••• F•••••••• N•••••• national BD
Jan 13, 2005 to Mar 18, 2005 · Phoenix, Az
W••••• S••••• S••••••••• I••• former
Nov 14, 2003 to Jan 7, 2005 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• to L•••
left Jul 25, 2025, registered Jun 13, 2025 (-42 days) · RIA to RIA · moved with a team
C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••••• F••••••••
left Aug 5, 2011, registered Apr 16, 2007 (-1572 days) · Other
C••••••••• F•••••••• N•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Mar 18, 2005, registered Apr 1, 2005 (14 days) · Other
W••••• S••••• S••••••••• I••• to C••••••••• F•••••••• N••••••
left Jan 7, 2005, registered Jan 13, 2005 (6 days) · Other

Signals

D•••• B•••• D•••••••• left C••••••••• F•••••••• for Lido (registered 2025-06-13)
Jul 25, 2025 · 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address