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

S••••• B•••• S••••

U••• B•••••• A•••••••• L••BD affiliatedSan Diego, Cadual registrantIAPD 4509498

Feed of 09/14/2026

Also filed as S••••• Suan B••••

At current firm

0 y

since Feb 13, 2026

In the industry

24 y

since Nov 1, 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

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · San Diego, Ca
U••• B•••••• I••••••••• I••• former
Jun 2, 2023 to Feb 13, 2026 · Irvine, Ca
U••• B•••••• A•••••••• L•• BD affiliated
Nov 9, 2022 to Jun 1, 2023 · San Diego, Ca
P•••••••• A••••••• national BD
Feb 15, 2022 to Nov 10, 2022 · San Diego, Ca
J••• M••••• S••••••••• L•• wirehouse
Oct 30, 2017 to Feb 28, 2020 · San Diego, Ca
W•••• F•••• A••••••• wirehouse
Nov 16, 2010 to Nov 11, 2015 · San Diego, Ca
W•••• F•••• I••••••••• L•• unclassified
Jun 24, 2009 to Nov 16, 2010 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
U••• B•••••• A•••••••• L•• to U••• B•••••• I••••••••• I•••
left Jun 1, 2023, registered Jun 2, 2023 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
P•••••••• A••••••• to U••• B•••••• A•••••••• L••
left Nov 10, 2022, registered Nov 9, 2022 (-1 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to P•••••••• A•••••••
left Feb 28, 2020, registered Feb 15, 2022 (718 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to J••• M••••• S••••••••• L••
left Nov 11, 2015, registered Oct 30, 2017 (719 days) · Wirehouse to wirehouse
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Nov 16, 2010, registered Nov 16, 2010 (0 days) · Other

Signals

S••••• B•••• S•••• left U••• B•••••• A•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-06-02)
Jun 1, 2023 · Advisor changed firm · fact
S••••• B•••• S•••• left P•••••••• A••••••• for U••• B•••••• A•••••••• L•• (registered 2022-11-09)
Nov 10, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address