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

S••• T••••• L•••

B••••• P••••• A•••••••• L••independent RIANewport Beach, Ca IA-onlyIAPD 3201193

Certified Financial Planner

Feed of 09/15/2026

At current firm

0 y

since Feb 20, 2026

In the industry

25 y

since Jan 24, 2001 (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

B••••• P••••• A•••••••• L•• independent RIA current
since Feb 20, 2026 · Fort Lauderdale, Fl
S•••••••• A•••• G•••• former
Jun 22, 2021 to Nov 18, 2021 · Oakbrook Terrace, Il
C••••••• P••••••• independent RIA
Mar 26, 2014 to May 3, 2021 · Fort Lauderdale, Fl
C•••••• S••••• • C••• I••• national BD
Aug 6, 2009 to Mar 28, 2014 · Boca Raton, Fl
E•••••••• A•••••••• L•• national BD
Feb 27, 2003 to Jul 23, 2009 · Boca Raton, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 2, 2002 to Aug 30, 2002 · Somerset, Nj

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A•••• G•••• to B••••• P••••• A•••••••• L••
left Nov 18, 2021, registered Feb 20, 2026 (1555 days) · RIA to RIA
C••••••• P••••••• to S•••••••• A•••• G••••
left May 3, 2021, registered Jun 22, 2021 (50 days) · RIA to RIA
C•••••• S••••• • C••• I••• to C••••••• P•••••••
left Mar 28, 2014, registered Mar 26, 2014 (-2 days) · Other
E•••••••• A•••••••• L•• to C•••••• S••••• • C••• I•••
left Jul 23, 2009, registered Aug 6, 2009 (14 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••••• A•••••••• L••
left Aug 30, 2002, registered Feb 27, 2003 (181 days) · Wirehouse to affiliated broker-dealer or bank

Signals

No dated event on this person.

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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address