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

B•••• S•••••• S•••••••••

S•••BD affiliatedNewport Beach, Ca dual registrantIAPD 2397675

Feed of 09/15/2026

At current firm

7 y

since Mar 29, 2019

In the industry

32 y

since Jan 27, 1994 (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

S••• BD affiliated current
since Mar 29, 2019 · Newport Beach, Ca
M•••••• BD affiliated
Sep 19, 2018 to Feb 19, 2019 · Scottsdale, Az
S••• BD affiliated
Jun 12, 2006 to Jun 1, 2018 · Irvine, Ca
L•• F•••••••• L•• BD affiliated
Aug 22, 2005 to Jan 26, 2006 · Irvine, Ca
A• G• E•••••• • S•••• I••• unclassified
Dec 16, 2004 to Aug 2, 2005 · Irvine, Ca
C•••••• S••••• • C••• I••• national BD
Nov 20, 2003 to Nov 22, 2004 · Ca
U•• F•••••••• S••••••• I••• wirehouse
Jul 8, 1997 to Dec 2, 2002 · Century City, Ca

Moves

a registration end followed by a registration begin elsewhere

M•••••• to S•••
left Feb 19, 2019, registered Mar 29, 2019 (38 days) · RIA to RIA
S••• to M••••••
left Jun 1, 2018, registered Sep 19, 2018 (110 days) · RIA to RIA
L•• F•••••••• L•• to S•••
left Jan 26, 2006, registered Jun 12, 2006 (137 days) · Other
A• G• E•••••• • S•••• I••• to L•• F•••••••• L••
left Aug 2, 2005, registered Aug 22, 2005 (20 days) · Other
C•••••• S••••• • C••• I••• to A• G• E•••••• • S•••• I•••
left Nov 22, 2004, registered Dec 16, 2004 (24 days) · Other
U•• F•••••••• S••••••• I••• to C•••••• S••••• • C••• I•••
left Dec 2, 2002, registered Nov 20, 2003 (353 days) · Wirehouse to affiliated broker-dealer or bank

Signals

No dated event on this person.

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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address