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

W•••••• R••••• P••••

C••••••• P••••••• I••••••••• A•••••••• L••i••••••••• managerNewport Beach, Ca IA-onlyIAPD 4427205

Feed of 09/14/2026

At current firm

11 y

since Jan 9, 2015

In the industry

25 y

since Aug 31, 2001 (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

C••••••• P••••••• I••••••••• A•••••••• L•• i••••••••• manager current
since Jan 9, 2015 · Newport Beach, Ca
C••••• A•••••• N••••••• L•• former
Jan 2, 2015 to Dec 31, 2021 · Redwood City, Ca
B•• A•••••••• I••• former
Sep 11, 2012 to May 30, 2014 · Palo Alto, Ca
W•••• F•••• I•••••••• S••••••• I••••••••• A•••••••• I••• unclassified
Jun 17, 2010 to Aug 6, 2012 · San Francisco, Ca
N••••••••• C•••••• P••••••• I••• unclassified
Jul 25, 2008 to May 4, 2010 · San Francisco, Ca
S••••••• I••••••••• A•••••••• I••• other
Jan 1, 2007 to Jul 7, 2008 · San Jose, Ca
I•••••••• A••••••• I•• unclassified
Sep 7, 2005 to Jan 1, 2007 · San Jose, Ca
W•••• F•••• I••••••••• L•• unclassified
Apr 23, 2003 to Apr 4, 2005 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••• A•••••• N••••••• L•• to C••••••• P••••••• I••••••••• A•••••••• L••
left Dec 31, 2021, registered Jan 9, 2015 (-2548 days) · Other
B•• A•••••••• I••• to C••••• A•••••• N••••••• L••
left May 30, 2014, registered Jan 2, 2015 (217 days) · Other
W•••• F•••• I•••••••• S••••••• I••••••••• A•••••••• I••• to B•• A•••••••• I•••
left Aug 6, 2012, registered Sep 11, 2012 (36 days) · Other
N••••••••• C•••••• P••••••• I••• to W•••• F•••• I•••••••• S••••••• I••••••••• A•••••••• I•••
left May 4, 2010, registered Jun 17, 2010 (44 days) · Other
S••••••• I••••••••• A•••••••• I••• to N••••••••• C•••••• P••••••• I•••
left Jul 7, 2008, registered Jul 25, 2008 (18 days) · Other
I•••••••• A••••••• I•• to S••••••• I••••••••• A•••••••• I•••
left Jan 1, 2007, registered Jan 1, 2007 (0 days) · Other
W•••• F•••• I••••••••• L•• to I•••••••• A••••••• I••
left Apr 4, 2005, registered Sep 7, 2005 (156 days) · Other

Signals

No dated event on this person.

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: I••••••••• MANAGERderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address