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

L••• A•••••• A•••••••••

C••••• I••••••••• A••••••• L••BD affiliatedWalnut Creek, Cadual registrantIAPD 4131189

Feed of 09/14/2026

Also filed as L••• A•••••• A•••••••••

At current firm

1 y

since May 5, 2025

In the industry

26 y

since Apr 24, 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

C••••• I••••••••• A••••••• L•• BD affiliated current
since May 5, 2025 · Walnut Creek, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 9, 2021 to Apr 14, 2025 · Oakland, Ca
U••• B•••••• A•••••••• L•• BD affiliated
Nov 9, 2017 to Sep 13, 2021 · Oakland, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 3, 2012 to Nov 7, 2017 · Hayward, Ca
U••• B•••••• A•••••••• L•• BD affiliated
Nov 29, 2007 to Mar 16, 2012 · South San Francisco, Ca
P•••••••• S••••••••• I••• BD affiliated
Sep 13, 2006 to Aug 13, 2007 · San Rafael, Ca
V•••• F•••••••• A•••••••• I••• BD affiliated
Jun 2, 2004 to Mar 15, 2006 · San Mateo, Ca

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• A••••••• L••
left Apr 14, 2025, registered May 5, 2025 (21 days) · Wirehouse to affiliated broker-dealer or bank
U••• B•••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 13, 2021, registered Sep 9, 2021 (-4 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• A•••••••• L••
left Nov 7, 2017, registered Nov 9, 2017 (2 days) · Other
U••• B•••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 16, 2012, registered Dec 3, 2012 (262 days) · Other
P•••••••• S••••••••• I••• to U••• B•••••• A•••••••• L••
left Aug 13, 2007, registered Nov 29, 2007 (108 days) · Other
V•••• F•••••••• A•••••••• I••• to P•••••••• S••••••••• I•••
left Mar 15, 2006, registered Sep 13, 2006 (182 days) · Other

Signals

L••• A•••••• A••••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C••••• I••••••••• A••••••• L•• (registered 2025-05-05)
Apr 14, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address