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

R••••• A••• C•••••

L•• F•••••••• L••BD affiliatedLaguna Beach, Cadual registrantIAPD 2366356

Feed of 09/14/2026

At current firm

1 y

since Apr 29, 2025

In the industry

33 y

since Jul 30, 1993 (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

L•• F•••••••• L•• BD affiliated current
since Apr 29, 2025 · Laguna Beach, Ca
R•••••• J•••• • A••••••••• I••• national BD
Oct 15, 2021 to Apr 29, 2025 · Newport Beach, Ca
O••••••••• • C•• I••• BD affiliated
Sep 12, 2018 to Oct 22, 2021 · Newport Beach, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Sep 12, 2014 to Sep 12, 2018 · Redwood City, Ca
W•••• F•••• A••••••• wirehouse
Sep 19, 2001 to Sep 15, 2014 · Palo Alto, Ca

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to L•• F•••••••• L••
left Apr 29, 2025, registered Apr 29, 2025 (0 days) · Affiliated broker-dealer or bank to another
O••••••••• • C•• I••• to R•••••• J•••• • A••••••••• I•••
left Oct 22, 2021, registered Oct 15, 2021 (-7 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to O••••••••• • C•• I•••
left Sep 12, 2018, registered Sep 12, 2018 (0 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••
left Sep 15, 2014, registered Sep 12, 2014 (-3 days) · Wirehouse to affiliated broker-dealer or bank

Signals

R••••• A••• C••••• left R•••••• J•••• • A••••••••• I••• for L•• F•••••••• L•• (registered 2025-04-29)
Apr 29, 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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address