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

E••• E••• S••••••

A••••••••• F•••••••• S•••••••• L••national BDCarlsbad, Cadual registrantIAPD 2479132

Feed of 09/14/2026

At current firm

2 y

since Dec 4, 2023

In the industry

32 y

since Apr 27, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• F•••••••• S•••••••• L•• national BD current
since Dec 4, 2023 · Carlsbad, Ca
A•••••• W••••• M••••••••• L•• independent RIA
Jan 5, 2022 to Jan 3, 2024 · Carlsbad, Ca
A•••••• W••••• M••••••••• L•• independent RIA
Sep 16, 2015 to Dec 31, 2021 · Carlsbad, Ca
C••••• • A••••••••• I••• independent RIA
Aug 29, 2014 to Aug 25, 2015 · Carlsbad, Ca
U••• B•••••• I••••••••• I••• former
Apr 6, 2010 to Sep 4, 2014 · Del Mar, Ca
C•••• I••••••••• S••••••• C•••• former
May 2, 2009 to Apr 5, 2010 · Rancho Santa Fe, Ca
W••• I••••••••• I••• unclassified
Feb 21, 2006 to May 2, 2009 · Rancho Santa Fe, Ca

Moves

a registration end followed by a registration begin elsewhere

A•••••• W••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Jan 3, 2024, registered Dec 4, 2023 (-30 days) · RIA to affiliated broker-dealer or bank · moved with a team
C••••• • A••••••••• I••• to A•••••• W••••• M••••••••• L••
left Aug 25, 2015, registered Sep 16, 2015 (22 days) · Other
U••• B•••••• I••••••••• I••• to C••••• • A••••••••• I•••
left Sep 4, 2014, registered Aug 29, 2014 (-6 days) · Other
C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••
left Apr 5, 2010, registered Apr 6, 2010 (1 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

E••• E••• S•••••• left A•••••• W••••• M••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-12-04)
Jan 3, 2024 · 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: National broker-dealer RIAderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address