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

R•••• S•••••• S•••••••

F•••• F••••••••• A•••••••independent RIAIrvine, CaIA-onlyIAPD 4564202

Certified Financial Planner · Personal Financial Specialist

Feed of 09/14/2026

At current firm

1 y

since Apr 3, 2025

In the industry

24 y

since Jul 8, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F•••• F••••••••• A••••••• independent RIA current
since Apr 3, 2025 · Irvine, Ca
S••••••• W••••• P•••••••• L•• unclassified
Apr 3, 2024 to May 15, 2025 · Seal Beach, Ca
F•••• F••••••••• A••••••• independent RIA
Sep 26, 2018 to Mar 28, 2024 · Irvine, Ca
W•••••••• P•••••••• L•• independent RIA
Jun 28, 2016 to Sep 24, 2018 · Los Angeles, Ca
E•••• • Y•••• I••••••••• A••••••• L•• no RAUM
Jul 19, 2002 to Jan 9, 2006 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

S••••••• W••••• P•••••••• L•• to F•••• F••••••••• A•••••••
left May 15, 2025, registered Apr 3, 2025 (-42 days) · Other
F•••• F••••••••• A••••••• to S••••••• W••••• P•••••••• L••
left Mar 28, 2024, registered Apr 3, 2024 (6 days) · Other
W•••••••• P•••••••• L•• to F•••• F••••••••• A•••••••
left Sep 24, 2018, registered Sep 26, 2018 (2 days) · RIA to RIA
E•••• • Y•••• I••••••••• A••••••• L•• to W•••••••• P•••••••• L••
left Jan 9, 2006, registered Jun 28, 2016 (3823 days) · Other

Signals

R•••• S•••••• S••••••• left S••••••• W••••• P•••••••• L•• for F•••• F••••••••• A••••••• (registered 2025-04-03)
May 15, 2025 · Advisor changed firm · fact
R•••• S•••••• S••••••• left F•••• F••••••••• A••••••• for S••••••• W••••• P•••••••• L•• (registered 2024-04-03)
Mar 28, 2024 · 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: Independent wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address