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

A••• L•••••• C••••

S•••••• W••••• A••••••• L••independent RIAWestlake Village, CaIA-onlyIAPD 2096756

Certified Financial Planner

Feed of 09/14/2026

Also filed as A••• L•••••• Stern

At current firm

2 y

since Sep 5, 2024

In the industry

35 y

since Oct 18, 1990 (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

S•••••• W••••• A••••••• L•• independent RIA current
since Sep 5, 2024 · Westlake Village, Ca
E•••••• F•••••••• E•••••• independent RIA
Nov 1, 2018 to Oct 4, 2024 · Woodland Hills, Ca
E•••••• F•••••••• S•••••••• L•• former
Jan 11, 2012 to Nov 1, 2018 · Fairfax, Va
S••••••••• A•••••• A•••••••• I••• former
Apr 30, 2008 to Jan 9, 2012 · Malibu, Ca
R•••••• J•••• F•••••••• S•••••••• I••• unclassified
Mar 17, 2008 to Apr 21, 2008 · Newbury Park, Ca

Moves

a registration end followed by a registration begin elsewhere

E•••••• F•••••••• E•••••• to S•••••• W••••• A••••••• L••
left Oct 4, 2024, registered Sep 5, 2024 (-29 days) · RIA to RIA
E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••
left Nov 1, 2018, registered Nov 1, 2018 (0 days) · corporate re-registration, not a move
S••••••••• A•••••• A•••••••• I••• to E•••••• F•••••••• S•••••••• L••
left Jan 9, 2012, registered Jan 11, 2012 (2 days) · Other
R•••••• J•••• F•••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Apr 21, 2008, registered Apr 30, 2008 (9 days) · Other

Signals

A••• L•••••• C•••• left E•••••• F•••••••• E•••••• for S•••••• W••••• A••••••• L•• (registered 2024-09-05)
Oct 4, 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: Independent wealth managerderived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address