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

V•••••• P••• R•••••

D••• D••••••• • C••independent RIAPalm Desert, Cadual registrantIAPD 2712722

Feed of 09/14/2026

Also filed as V•••••• P•••

At current firm

1 y

since Jul 23, 2025

In the industry

20 y

since Dec 23, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

D••• D••••••• • C•• independent RIA current
since Jul 23, 2025 · Palm Desert, Ca
R•••••• J•••• • A••••••••• I••• national BD
Jun 24, 2014 to Jul 24, 2025 · Palm Desert, Ca
M••••• S•••••• wirehouse
Jun 1, 2009 to Jul 7, 2014 · Indian Wells, Ca
M••••• S•••••• • C•• L•• unclassified
Oct 31, 2008 to Jun 1, 2009 · Palm Desert, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Jan 4, 2006 to Nov 6, 2008 · Palm Desert, Ca

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to D••• D••••••• • C••
left Jul 24, 2025, registered Jul 23, 2025 (-1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
M••••• S•••••• to R•••••• J•••• • A••••••••• I•••
left Jul 7, 2014, registered Jun 24, 2014 (-13 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
C•••••••• G••••• M•••••• I••• to M••••• S•••••• • C•• L••
left Nov 6, 2008, registered Oct 31, 2008 (-6 days) · Other

Signals

V•••••• P••• R••••• left R•••••• J•••• • A••••••••• I••• for D••• D••••••• • C•• (registered 2025-07-23)
Jul 24, 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: Independent wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address