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••••• I•• P••••••

R•• A•••••••• L••independent RIASanta Clarita, Ca IA-onlyIAPD 4137862

Feed of 09/14/2026

Also filed as A••••• I•• P••••••

At current firm

0 y

since Apr 6, 2026

In the industry

26 y

since Apr 20, 2000 (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

R•• A•••••••• L•• independent RIA current
since Apr 6, 2026 · Vestavia Hills, Al
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 21, 2024 to Apr 8, 2026 · Santa Clarita, Ca
C••••• A••••••• L•• former
Dec 4, 2020 to Mar 21, 2024 · Greenwood Village, Co
L•• F•••••••• L•• BD affiliated
Nov 9, 2017 to Dec 31, 2018 · Santa Clarita, Ca
H••••••••• G•••• E••••• • R••••••••• S••••••••• former
Nov 27, 2013 to Dec 31, 2020 · Santa Clarita, Ca
H••••••••• G•••• F•••••••• A•••••••• L•• former
Oct 12, 2010 to Nov 27, 2013 · Santa Clarita, Ca
W••••••• F•••••••• S•••••••• I••• former
Apr 28, 2006 to Oct 8, 2010 · El Segundo, Ca
M••••• S•••••• D• I••• unclassified
Aug 24, 2000 to May 2, 2006 · Valencia, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to R•• A•••••••• L••
left Apr 8, 2026, registered Apr 6, 2026 (-2 days) · Affiliated broker-dealer or bank to independent RIA
C••••• A••••••• L•• to C••••• I••••••••• A••••••• L••
left Mar 21, 2024, registered Mar 21, 2024 (0 days) · corporate re-registration, not a move
H••••••••• G•••• E••••• • R••••••••• S••••••••• to L•• F•••••••• L••
left Dec 31, 2020, registered Nov 9, 2017 (-1148 days) · RIA to RIA
L•• F•••••••• L•• to C••••• A••••••• L••
left Dec 31, 2018, registered Dec 4, 2020 (704 days) · RIA to affiliated broker-dealer or bank
H••••••••• G•••• F•••••••• A•••••••• L•• to H••••••••• G•••• E••••• • R••••••••• S•••••••••
left Nov 27, 2013, registered Nov 27, 2013 (0 days) · Other
W••••••• F•••••••• S•••••••• I••• to H••••••••• G•••• F•••••••• A•••••••• L••
left Oct 8, 2010, registered Oct 12, 2010 (4 days) · Other
M••••• S•••••• D• I••• to W••••••• F•••••••• S•••••••• I•••
left May 2, 2006, registered Apr 28, 2006 (-4 days) · Other

Signals

A••••• I•• P•••••• left C••••• I••••••••• A••••••• L•• for R•• A•••••••• L•• (registered 2026-04-06)
Apr 8, 2026 · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address