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••••• R•••••• D•••••

J••• M••••• S••••••••• L••wirehouseEl Segundo, Cadual registrantIAPD 3046363

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as C••••• R••••••

At current firm

3 y

since Sep 6, 2023

In the industry

28 y

since Jun 22, 1998 (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

J••• M••••• S••••••••• L•• wirehouse current
since Sep 6, 2023 · El Segundo, Ca
J••• M••••• P•••••• W••••• A••••••• L•• former
Sep 28, 2022 to Mar 21, 2025 · Los Angeles, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Aug 30, 2022 · Boston, Ma
S•••••••• A••••••• L•• national BD
Oct 4, 2017 to Jul 13, 2018 · Los Angeles, Ca
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Dec 10, 2009 to Sep 1, 2016 · St. Petersburg, Fl
U••• F•••••••• P••••••• S••••••• former
Dec 3, 2003 to Dec 20, 2007 · San Antonio, Tx
U••• I••••••••• S••••••• C•••••• no RAUM
Oct 16, 2001 to Dec 31, 2003 · San Antonio, Tx

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••
left Mar 21, 2025, registered Sep 6, 2023 (-562 days) · corporate re-registration, not a move
F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• P•••••• W••••• A••••••• L••
left Aug 30, 2022, registered Sep 28, 2022 (29 days) · Affiliated broker-dealer or bank to another
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
T••••••••• F•••••••• A•••••••• L•• to S•••••••• A••••••• L••
left Sep 1, 2016, registered Oct 4, 2017 (398 days) · Other
U••• F•••••••• P••••••• S••••••• to T••••••••• F•••••••• A•••••••• L••
left Dec 20, 2007, registered Dec 10, 2009 (721 days) · Other
U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••
left Dec 31, 2003, registered Dec 3, 2003 (-28 days) · Other

Signals

C••••• R•••••• D••••• left F••••••• P••••••• A•• W•••••••• A••••••• for J••• M••••• P•••••• W••••• A••••••• L•• (registered 2022-09-28)
Aug 30, 2022 · 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: Wirehousederived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address