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

I••• R••••••••

S•••••••• A••••••• L••national BDIrvine, Ca dual registrantIAPD 4010358

Feed of 09/15/2026

Also filed as I••• A. R••••••••

At current firm

1 y

since Mar 31, 2025

In the industry

25 y

since Dec 19, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Sep 11, 2026 · La Jolla, Ca
S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Irvine, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Apr 16, 2024 to Mar 31, 2025 · Woodland Hills, Ca
S•••••• C•••••• A••••••• L•• BD affiliated
Dec 4, 2015 to Apr 7, 2024 · San Diego, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 19, 2010 to Dec 7, 2015 · San Diego, Ca
C•••• I••••••••• S••••••• C•••• former
Apr 13, 2010 to Oct 28, 2010 · Chula Vista, Ca
W•••• F•••• I••••••••• L•• unclassified
May 18, 2007 to Apr 7, 2010 · Bonita, Ca
S•••••••• A••••••• L•• national BD
May 18, 2004 to May 24, 2007 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
S•••••• C•••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 7, 2024, registered Apr 16, 2024 (9 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• C•••••• A••••••• L••
left Dec 7, 2015, registered Dec 4, 2015 (-3 days) · Other · moved with a team
C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 28, 2010, registered Oct 19, 2010 (-9 days) · Other
W•••• F•••• I••••••••• L•• to C•••• I••••••••• S••••••• C••••
left Apr 7, 2010, registered Apr 13, 2010 (6 days) · Other
S•••••••• A••••••• L•• to W•••• F•••• I••••••••• L••
left May 24, 2007, registered May 18, 2007 (-6 days) · Other

Signals

I••• R•••••••• left S•••••• C•••••• A••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-04-16)
Apr 7, 2024 · 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: National broker-dealer RIAderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address