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

C••• E••• L•••

L•• F•••••••• L••BD affiliatedWest Covina, Ca dual registrantIAPD 4181259

Feed of 09/15/2026

At current firm

1 y

since May 15, 2025

In the industry

26 y

since Jul 10, 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

L•• F•••••••• L•• BD affiliated current
since May 15, 2025 · Ontario, Ca
C••• F•••••••• S•••••••• L••• former
Aug 3, 2023 to May 15, 2025 · Redlands, Ca
C••••••• S••••••••• former
Jun 15, 2021 to Jul 28, 2023 · Costa Mesa, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Apr 22, 2014 to Jun 14, 2021 · Fountain Valley, Ca
E•••• N••••••• S••••••••• I••• former
Feb 16, 2010 to Apr 16, 2014 · Chula Vista, Ca
L•• F•••••••• L•• BD affiliated
Sep 23, 2008 to Feb 17, 2010 · Panorama City, Ca
C••••••••• I••••••••• S•••••••• I••• unclassified
May 28, 2008 to Sep 3, 2008 · Fullerton, Ca
L•• F•••••••• L•• BD affiliated
Nov 7, 2007 to Jun 2, 2008 · Anaheim, Ca
U••• B•••••• A•••••••• L•• BD affiliated
Jan 27, 2005 to Oct 16, 2007 · Corona, Ca
E•••• N••••••• S••••••••• I••• former
Mar 24, 2004 to Jan 4, 2005 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
C••••••• S••••••••• to C••• F•••••••• S•••••••• L•••
left Jul 28, 2023, registered Aug 3, 2023 (6 days) · RIA to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to C••••••• S•••••••••
left Jun 14, 2021, registered Jun 15, 2021 (1 days) · Other
E•••• N••••••• S••••••••• I••• to C•••••••• G••••• M•••••• I•••
left Apr 16, 2014, registered Apr 22, 2014 (6 days) · Other
L•• F•••••••• L•• to E•••• N••••••• S••••••••• I•••
left Feb 17, 2010, registered Feb 16, 2010 (-1 days) · Other
C••••••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••
left Sep 3, 2008, registered Sep 23, 2008 (20 days) · Other
L•• F•••••••• L•• to C••••••••• I••••••••• S•••••••• I•••
left Jun 2, 2008, registered May 28, 2008 (-5 days) · Other
U••• B•••••• A•••••••• L•• to L•• F•••••••• L••
left Oct 16, 2007, registered Nov 7, 2007 (22 days) · Other
E•••• N••••••• S••••••••• I••• to U••• B•••••• A•••••••• L••
left Jan 4, 2005, registered Jan 27, 2005 (23 days) · Other

Signals

C••• E••• L••• left C••••••• S••••••••• for C••• F•••••••• S•••••••• L••• (registered 2023-08-03)
Jul 28, 2023 · 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