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•••• M•••••• T••••••

R•• S••••••••• I•••BD affiliatedTorrance, Ca dual registrantIAPD 2664827

Feed of 09/15/2026

At current firm

9 y

since Mar 23, 2017

In the industry

30 y

since Oct 30, 1995 (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

R•• S••••••••• I••• BD affiliated current
since Mar 23, 2017 · Torrance, Ca
S•••••••• F•••••••• A••••••• L•• former
Apr 21, 2022 to May 21, 2024 · New York, Ny
U••• B•••••• I••••••••• I••• former
Aug 18, 2009 to Mar 22, 2017 · Hacienda Heights, Ca
C•••• I••••••••• S••••••• C•••• former
May 2, 2009 to Jul 30, 2009 · Los Angeles, Ca
W••• I••••••••• I••• unclassified
Sep 23, 2004 to May 2, 2009 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

S•••••••• F•••••••• A••••••• L•• to no registered destination
left May 21, 2024 · Departure, no registered destination
U••• B•••••• I••••••••• I••• to R•• S••••••••• I•••
left Mar 22, 2017, registered Mar 23, 2017 (1 days) · Other
C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••
left Jul 30, 2009, registered Aug 18, 2009 (19 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•••• M•••••• T•••••• no longer registered at S•••••••• F•••••••• A••••••• L••; no later IA registration on IAPD
May 21, 2024 · 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address