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•••• F•••••••••

M••••• S••••••wirehouseLos Angeles, Cadual registrantIAPD 3066448

Feed of 09/14/2026

Also filed as D•••• L F•••••••••

At current firm

0 y

since Mar 23, 2026

In the industry

28 y

since Aug 3, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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

M••••• S•••••• wirehouse current
since Mar 23, 2026 · Los Angeles, Ca
J••• M••••• S••••••••• L•• wirehouse
Dec 24, 2025 to Mar 25, 2026 · La Canada, Ca
W•••• F•••• A••••••• wirehouse
Dec 19, 2014 to Oct 28, 2025 · Pasadena, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Jul 25, 2014 to Dec 5, 2014 · Pasadena, Ca
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Feb 10, 2014 · El Segundo, Ca
W•••• F•••• I••••••••• L•• unclassified
May 3, 2010 to Jan 3, 2011 · Los Angeles, Ca
U•• F•••••••• S••••••• I••• wirehouse
Nov 24, 2008 to Feb 11, 2009 · Pasadena, Ca
R•• C•••••• M••••••• L•• national BD
Jul 7, 2008 to Dec 2, 2008 · Pasadena, Ca

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to M••••• S••••••
left Mar 25, 2026, registered Mar 23, 2026 (-2 days) · Wirehouse to wirehouse · moved with a team
W•••• F•••• A••••••• to J••• M••••• S••••••••• L••
left Oct 28, 2025, registered Dec 24, 2025 (57 days) · Wirehouse to wirehouse · moved with a team
A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••
left Dec 5, 2014, registered Dec 19, 2014 (14 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••
left Feb 10, 2014, registered Jul 25, 2014 (165 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to W•••• F•••• I••••••••• L••
left Feb 11, 2009, registered May 3, 2010 (446 days) · Other
R•• C•••••• M••••••• L•• to U•• F•••••••• S••••••• I•••
left Dec 2, 2008, registered Nov 24, 2008 (-8 days) · Affiliated broker-dealer or bank to wirehouse

Signals

D•••• F••••••••• left J••• M••••• S••••••••• L•• for M••••• S•••••• (registered 2026-03-23)
Mar 25, 2026 · Advisor changed firm · fact
D•••• F••••••••• left W•••• F•••• A••••••• for J••• M••••• S••••••••• L•• (registered 2025-12-24)
Oct 28, 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: Wirehousederived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address