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

A••• N•• S••••••

M•• C•••••• M••••••••• L••independent RIALos Angeles, CaIA-onlyIAPD 3208699

Certified Financial Planner · Chartered Financial Consultant · Chartered Financial Analyst

Feed of 09/14/2026

Also filed as A••• S••••••

At current firm

0 y

since Nov 12, 2025

In the industry

27 y

since Sep 1, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•• C•••••• M••••••••• L•• independent RIA current
since Nov 12, 2025 · Los Angeles, Ca
E•••• A••••••• independent RIA
Jul 14, 2023 to Sep 4, 2026 · Los Angeles, Ca
I•••••••• A•••••••• L•• former
Jun 10, 2022 to Aug 15, 2023 · Los Angeles, Ca
A••••••• R••••••• I••••••••• S••••••••• L•• former
Nov 14, 2014 to Jul 15, 2024 · Los Angeles, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 18, 1999 to Nov 18, 2014 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

E•••• A••••••• to M•• C•••••• M••••••••• L••
left Sep 4, 2026, registered Nov 12, 2025 (-296 days) · corporate re-registration, not a move
A••••••• R••••••• I••••••••• S••••••••• L•• to I•••••••• A•••••••• L••
left Jul 15, 2024, registered Jun 10, 2022 (-766 days) · Other
I•••••••• A•••••••• L•• to E•••• A•••••••
left Aug 15, 2023, registered Jul 14, 2023 (-32 days) · RIA to RIA · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••• R••••••• I••••••••• S••••••••• L••
left Nov 18, 2014, registered Nov 14, 2014 (-4 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)

Signals

A••• N•• S•••••• left A••••••• R••••••• I••••••••• S••••••••• L•• for I•••••••• A•••••••• L•• (registered 2022-06-10)
Jul 15, 2024 · Advisor changed firm · fact
A••• N•• S•••••• left I•••••••• A•••••••• L•• for E•••• A••••••• (registered 2023-07-14)
Aug 15, 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: Independent wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address