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

D••••• L••• M••••

C••••• I••••••••• A••••••• L••BD affiliatedSan Diego, Cadual registrantIAPD 4531299

Feed of 09/14/2026

Also filed as D••••• L••• M••••

At current firm

5 y

since Nov 12, 2020

In the industry

25 y

since May 14, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Nov 12, 2020 · San Diego, Ca
F•••• A••••• A••••••• S•••••••• I••• former
Sep 30, 2010 to Nov 12, 2020 · San Diego, Ca
G•••••••• I••••••••• M••••••••• I••• unclassified
Jul 30, 2008 to Oct 7, 2010 · San Diego, Ca
F•••• A••••• S••••••••• I••• former
May 14, 2008 to Jul 2, 2012 · Goodyear, Az
G•••••••• I••••••••• M••••••••• I••• unclassified
Nov 8, 2006 to Mar 14, 2008 · Goodyear, Az
C•••••• S••••• • C••• I••• national BD
Jun 13, 2006 to Oct 16, 2006 · Phoenix, Az
G•••••••• I••••••••• M••••••••• I••• unclassified
Sep 13, 2004 to Jun 2, 2006 · Goodyear, Az
X•••• F•••••••• P•••••••• I••• unclassified
Feb 18, 2003 to Dec 31, 2004 · Glendale, Az
X•••• I••••••••• S•••••••• I••• unclassified
Jan 1, 2002 to Jan 30, 2003 · Glendale, Az

Moves

a registration end followed by a registration begin elsewhere

F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
F•••• A••••• S••••••••• I••• to G•••••••• I••••••••• M••••••••• I•••
left Jul 2, 2012, registered Jul 30, 2008 (-1433 days) · Other
G•••••••• I••••••••• M••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••
left Oct 7, 2010, registered Sep 30, 2010 (-7 days) · Other
G•••••••• I••••••••• M••••••••• I••• to F•••• A••••• S••••••••• I•••
left Mar 14, 2008, registered May 14, 2008 (61 days) · Other
C•••••• S••••• • C••• I••• to G•••••••• I••••••••• M••••••••• I•••
left Oct 16, 2006, registered Nov 8, 2006 (23 days) · Other
G•••••••• I••••••••• M••••••••• I••• to C•••••• S••••• • C••• I•••
left Jun 2, 2006, registered Jun 13, 2006 (11 days) · Other
X•••• F•••••••• P•••••••• I••• to G•••••••• I••••••••• M••••••••• I•••
left Dec 31, 2004, registered Sep 13, 2004 (-109 days) · Other
X•••• I••••••••• S•••••••• I••• to X•••• F•••••••• P•••••••• I•••
left Jan 30, 2003, registered Feb 18, 2003 (19 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: Broker-dealer affiliated wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address