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••• T••••• M•••••

C••••• I••••••••• A••••••• L••BD affiliatedEl Segundo, Ca dual registrantIAPD 2184102

Feed of 09/14/2026

Also filed as S••• T••••• M•••••

At current firm

0 y

since Aug 3, 2026

In the industry

34 y

since Nov 7, 1991 (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•• BD affiliated current
since Aug 3, 2026 · Denver, Co
R•••••• J•••• • A••••••••• I••• national BD
Jan 28, 2020 to Jul 3, 2025 · St. Petersburg, Fl
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jul 9, 2013 to Jul 3, 2025 · Denver, Co
L•• F•••••••• L•• BD affiliated
Nov 3, 2011 to May 15, 2013 · San Diego, Ca
C•••••• S••••• • C••• I••• national BD
Jan 1, 1999 to Oct 10, 2011 · Newport Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••
left Jul 3, 2025, registered Jan 28, 2020 (-1983 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• • A••••••••• I••• to C••••• I••••••••• A••••••• L••
left Jul 3, 2025, registered Aug 3, 2026 (396 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left May 15, 2013, registered Jul 9, 2013 (55 days) · Other
C•••••• S••••• • C••• I••• to L•• F•••••••• L••
left Oct 10, 2011, registered Nov 3, 2011 (24 days) · Other

Signals

S••• T••••• M••••• left R•••••• J•••• • A••••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2026-08-03)
Jul 3, 2025 · Advisor changed firm · fact
S••• T••••• M••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for R•••••• J•••• • A••••••••• I••• (registered 2020-01-28)
Jul 3, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address