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

B•••• P•••••• S••••••

M••••••• P••••••• S••••••••• L••state registeredBrea, Ca dual registrantIAPD 4174087

Feed of 09/14/2026

Also filed as B•••• P S••••••

At current firm

1 y

since Jul 28, 2025

In the industry

26 y

since Aug 18, 2000 (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

M••••••• P••••••• S••••••••• L•• state registered current
since Jul 28, 2025 · Brea, Ca
C•••••• G•••• • C• I•• former
May 11, 2023 to Oct 23, 2024 · Wayne, Nj
P•••••• P••••••••• L•• former
Oct 12, 2022 to Aug 13, 2023 · Ventura, Ca
T••••••• S••••••• A••••••• BD affiliated
Aug 12, 2020 to Mar 1, 2022 · Indianapolis, In
T••••••• S••••••• F•••••••• former
Jan 30, 2017 to Jan 3, 2022 · Indianapolis, In

Moves

a registration end followed by a registration begin elsewhere

C•••••• G•••• • C• I•• to M••••••• P••••••• S••••••••• L••
left Oct 23, 2024, registered Jul 28, 2025 (278 days) · Affiliated broker-dealer or bank to a state-registered adviser
P•••••• P••••••••• L•• to C•••••• G•••• • C• I••
left Aug 13, 2023, registered May 11, 2023 (-94 days) · Other
T••••••• S••••••• A••••••• to P•••••• P••••••••• L••
left Mar 1, 2022, registered Oct 12, 2022 (225 days) · Affiliated broker-dealer or bank to a newly registered adviser
T••••••• S••••••• F•••••••• to T••••••• S••••••• A•••••••
left Jan 3, 2022, registered Aug 12, 2020 (-509 days) · Other

Signals

B•••• P•••••• S•••••• left C•••••• G•••• • C• I•• for M••••••• P••••••• S••••••••• L•• (registered 2025-07-28)
Oct 23, 2024 · Advisor changed firm · fact
B•••• P•••••• S•••••• left P•••••• P••••••••• L•• for C•••••• G•••• • C• I•• (registered 2023-05-11)
Aug 13, 2023 · Advisor changed firm · fact
B•••• P•••••• S•••••• left T••••••• S••••••• A••••••• for P•••••• P••••••••• L•• (registered 2022-10-12)
Mar 1, 2022 · Advisor changed firm · fact
B•••• P•••••• S•••••• left T••••••• S••••••• F•••••••• for T••••••• S••••••• A••••••• (registered 2020-08-12)
Jan 3, 2022 · 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: STATE REGISTEREDderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address