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

A••••• R••••• H••••••••

W•••••• S••••••••• I•••BD affiliatedPasadena, Ca dual registrantIAPD 2539627

Feed of 09/15/2026

At current firm

5 y

since Dec 11, 2020

In the industry

21 y

since Sep 9, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••••• S••••••••• I••• BD affiliated current
since Dec 11, 2020 · New York, Ny
O••••• A••••••• L•• no RAUM
Dec 4, 2023 to Sep 24, 2025 · Pasadena, Ca
R•••••• J•••• • A••••••••• I••• national BD
Dec 20, 2017 to Dec 18, 2020 · Los Angeles, Ca
U•• F•••••••• S••••••• I••• wirehouse
May 3, 2011 to Dec 26, 2017 · Los Angeles, Ca
E••••• J•••• national BD
Feb 5, 2007 to May 3, 2011 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

O••••• A••••••• L•• to no registered destination
left Sep 24, 2025 · Departure, no registered destination
R•••••• J•••• • A••••••••• I••• to W•••••• S••••••••• I•••
left Dec 18, 2020, registered Dec 11, 2020 (-7 days) · Affiliated broker-dealer or bank to another
U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••
left Dec 26, 2017, registered Dec 20, 2017 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
E••••• J•••• to U•• F•••••••• S••••••• I•••
left May 3, 2011, registered May 3, 2011 (0 days) · Affiliated broker-dealer or bank to wirehouse

Signals

A••••• R••••• H•••••••• no longer registered at O••••• A••••••• L••; no later IA registration on IAPD
Sep 24, 2025 · Advisor departure · 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address