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•••••• J•••••••••

L•• F•••••••• L••BD affiliatedAnaheim, Cadual registrantIAPD 2254235

Feed of 09/14/2026

At current firm

1 y

since May 15, 2025

In the industry

34 y

since Jul 28, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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•• F•••••••• L•• BD affiliated current
since May 15, 2025 · Anaheim, Ca
C••• F•••••••• S•••••••• L••• former
Jan 13, 2023 to May 15, 2025 · Anaheim, Ca
W••••• F•••••••• S•••••••• L•• former
Jan 5, 2016 to Feb 6, 2023 · Anaheim, Ca
A•••• C•••• I••••••••• L•• former
Feb 9, 2015 to Dec 21, 2015 · Irvine, Ca
J••• M••••• S••••••••• L•• wirehouse
Dec 11, 2012 to Feb 11, 2015 · Laguna Hills, Ca
B••••••• I••••••••• S•••••••• I••• ••••• former
Aug 2, 2010 to Dec 7, 2012 · Pittsburg, Ca
U••• B•••••• I••••••••• I••• former
Apr 7, 2010 to Jul 30, 2010 · Irvine, Ca
C•••• I••••••••• S••••••• C•••• former
May 2, 2009 to Mar 24, 2010 · Laguna Hills, Ca
W••• I••••••••• I••• unclassified
Feb 16, 2006 to May 2, 2009 · Laguna Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
W••••• F•••••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••
left Feb 6, 2023, registered Jan 13, 2023 (-24 days) · RIA to affiliated broker-dealer or bank · moved with a team
A•••• C•••• I••••••••• L•• to W••••• F•••••••• S•••••••• L••
left Dec 21, 2015, registered Jan 5, 2016 (15 days) · Other
J••• M••••• S••••••••• L•• to A•••• C•••• I••••••••• L••
left Feb 11, 2015, registered Feb 9, 2015 (-2 days) · Other
B••••••• I••••••••• S•••••••• I••• ••••• to J••• M••••• S••••••••• L••
left Dec 7, 2012, registered Dec 11, 2012 (4 days) · Other
U••• B•••••• I••••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••
left Jul 30, 2010, registered Aug 2, 2010 (3 days) · Other
C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••
left Mar 24, 2010, registered Apr 7, 2010 (14 days) · Other
W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••
left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move

Signals

D•••• A•••••• J••••••••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-13)
Feb 6, 2023 · 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