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

C••••••••• M• L•••••••

C••••••••• F•••••••• N••••••national BDSolana Beach, Cadual registrantIAPD 2956974

Feed of 09/14/2026

At current firm

2 y

since Oct 25, 2023

In the industry

25 y

since Jul 19, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• F•••••••• N•••••• national BD current
since Oct 25, 2023 · Solana Beach, Ca
C•••••• A••••••• BD affiliated
Jun 4, 2012 to Oct 25, 2023 · San Diego, Ca
L•••••• I••••••••• independent RIA
Jun 1, 2012 to Oct 25, 2023 · San Diego, Ca
C••••••••• A•••••••• I•• former
Feb 16, 2006 to Jun 1, 2012 · San Diego, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Aug 7, 2001 to Feb 22, 2006 · Rancho Bernardo, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••• A••••••• to C••••••••• F•••••••• N••••••
left Oct 25, 2023, registered Oct 25, 2023 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
L•••••• I••••••••• to C•••••• A•••••••
left Oct 25, 2023, registered Jun 4, 2012 (-4160 days) · Other · moved with a team
C••••••••• A•••••••• I•• to L•••••• I•••••••••
left Jun 1, 2012, registered Jun 1, 2012 (0 days) · corporate re-registration, not a move
C•••••••• G••••• M•••••• I••• to C••••••••• A•••••••• I••
left Feb 22, 2006, registered Feb 16, 2006 (-6 days) · Other

Signals

C••••••••• M• L••••••• left C•••••• A••••••• for C••••••••• F•••••••• N•••••• (registered 2023-10-25)
Oct 25, 2023 · Advisor changed firm · fact
C••••••••• M• L••••••• left L•••••• I••••••••• for C•••••• A••••••• (registered 2012-06-04)
Oct 25, 2023 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address