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•••• S•••• G•••••

L•• F•••••••• L••BD affiliatedLos Angeles, Ca dual registrantIAPD 2954319

Feed of 09/15/2026

At current firm

1 y

since Jan 8, 2025

In the industry

28 y

since Nov 24, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jan 8, 2025 · Los Angeles, Ca
J••• M••••• S••••••••• L•• wirehouse
Jul 21, 2017 to Nov 14, 2024 · Los Angeles, Ca
S•••••• N••••••• • C••••••• I••••••••• national BD
Dec 4, 2015 to Jul 28, 2017 · St. Louis, Mo
B••••••• C•••••• I••• former
Jan 13, 2012 to Dec 4, 2015 · Los Angeles, Ca
C••••• S••••• S••••••••• •••• L•• former
Aug 19, 2005 to Feb 3, 2012 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to L•• F•••••••• L••
left Nov 14, 2024, registered Jan 8, 2025 (55 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
S•••••• N••••••• • C••••••• I••••••••• to J••• M••••• S••••••••• L••
left Jul 28, 2017, registered Jul 21, 2017 (-7 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
C••••• S••••• S••••••••• •••• L•• to B••••••• C•••••• I•••
left Feb 3, 2012, registered Jan 13, 2012 (-21 days) · Other

Signals

D•••• S•••• G••••• left J••• M••••• S••••••••• L•• for L•• F•••••••• L•• (registered 2025-01-08)
Nov 14, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address