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•••••• A•••••• S••••••••

C••••••••• I••••••••• A•••••••• L••independent RIASan Diego, Ca dual registrantIAPD 2183007

Feed of 09/15/2026

Also filed as D•••••• A S••••••••

At current firm

3 y

since Apr 24, 2023

In the industry

34 y

since Jan 17, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• I••••••••• A•••••••• L•• independent RIA current
since Apr 24, 2023 · San Diego, Ca
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jan 20, 2022 to May 16, 2023 · San Diego, Ca
W•••• F•••• A••••••• wirehouse
Dec 7, 2009 to Jan 25, 2022 · Los Angeles, Ca
U•• F•••••••• S••••••• I••• wirehouse
Dec 16, 1998 to Dec 9, 2009 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••••• I••••••••• A•••••••• L••
left May 16, 2023, registered Apr 24, 2023 (-22 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jan 25, 2022, registered Jan 20, 2022 (-5 days) · Wirehouse to affiliated broker-dealer or bank
U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
left Dec 9, 2009, registered Dec 7, 2009 (-2 days) · Wirehouse to wirehouse

Signals

D•••••• A•••••• S•••••••• left W•••• F•••• A••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-01-20)
Jan 25, 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: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address