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.

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Registered advisor

S••• C••••••••• W•••••

C••• L••BD affiliatedPasadena, Ca IA-onlyIAPD 4113609

Feed of 09/15/2026

At current firm

5 y

since Oct 19, 2020

In the industry

26 y

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

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

C••• L•• BD affiliated current
since Oct 19, 2020 · Omaha, Ne
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Nov 8, 2024 · Irvine, Ca
C••••• A•••••• N••••••• L•• former
Oct 20, 2020 to Jun 29, 2023 · Irvine, Ca
A•••••• F•••••••• P•••••••• I••• state registered
Oct 24, 2018 to Nov 3, 2020 · Irvine, Ca
L•• F•••••••• L•• BD affiliated
May 19, 2014 to Oct 21, 2020 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to no registered destination
left Nov 8, 2024 · Departure, no registered destination
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
A•••••• F•••••••• P•••••••• I••• to C••• L••
left Nov 3, 2020, registered Oct 19, 2020 (-15 days) · Other · moved with a team
L•• F•••••••• L•• to A•••••• F•••••••• P•••••••• I•••
left Oct 21, 2020, registered Oct 24, 2018 (-728 days) · Affiliated broker-dealer or bank to a state-registered adviser · moved with a team

Signals

S••• C••••••••• W••••• no longer registered at C••••• I••••••••• A••••••• L••; no later IA registration on IAPD
Nov 8, 2024 · a•••••• departure · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address