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•••••• C••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedWestlake Village, Cadual registrantIAPD 3244019

Certified Financial Planner

Feed of 09/14/2026

At current firm

0 y

since Oct 23, 2025

In the industry

27 y

since Jun 23, 1999 (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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Oct 23, 2025 · Westlake Village, Ca
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA
Nov 15, 2013 to Nov 19, 2025 · Scottsdale, Az
W••••••• F•••••••• A••••••• L•• former
Jun 14, 2012 to May 14, 2015 · W••••••• Village, Ca
F•••••••• W••• G•••• former
Sep 2, 1999 to Nov 18, 2013 · W••••••• Village, Ca

Moves

a registration end followed by a registration begin elsewhere

U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Nov 19, 2025, registered Oct 23, 2025 (-27 days) · RIA to affiliated broker-dealer or bank · moved with a team
W••••••• F•••••••• A••••••• L•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••
left May 14, 2015, registered Nov 15, 2013 (-545 days) · Other
F•••••••• W••• G•••• to W••••••• F•••••••• A••••••• L••
left Nov 18, 2013, registered Jun 14, 2012 (-522 days) · Other

Signals

D••••• F•••••• C•••• left U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-10-23)
Nov 19, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address