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••••••••• P••••••• C••••••

U••• B•••••• A•••••••• L••BD affiliatedRancho Santa Margarita, Ca dual registrantIAPD 4598089

Feed of 09/14/2026

Also filed as C••••••••• Pancho P•••••••

At current firm

0 y

since Feb 13, 2026

In the industry

23 y

since Jun 4, 2003 (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 · Rancho Santa Margarita, Ca
U••• B•••••• I••••••••• I••• former
Jun 13, 2024 to Feb 13, 2026 · Saint Paul, Mn
J••• M••••• S••••••••• L•• wirehouse
Jun 6, 2018 to Jun 14, 2024 · Aliso Viejo, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 11, 2016 to Jun 1, 2018 · Irvine, Ca
N•••••• C•••• A•••• M••••••••• former
Sep 13, 2012 to Jan 4, 2016 · Irvine, Ca
C•••••••• F••••••••• I••• BD affiliated
Jan 10, 2011 to Sep 14, 2012 · Costa Mesa, Ca
E•••••••• A•••••••• L•• national BD
Jun 5, 2003 to Jan 15, 2009 · Irvine, 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
J••• M••••• S••••••••• L•• to U••• B•••••• I••••••••• I•••
left Jun 14, 2024, registered Jun 13, 2024 (-1 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
left Jun 1, 2018, registered Jun 6, 2018 (5 days) · Wirehouse to wirehouse · moved with a team
N•••••• C•••• A•••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 4, 2016, registered Aug 11, 2016 (220 days) · Other
C•••••••• F••••••••• I••• to N•••••• C•••• A•••• M•••••••••
left Sep 14, 2012, registered Sep 13, 2012 (-1 days) · Other
E•••••••• A•••••••• L•• to C•••••••• F••••••••• I•••
left Jan 15, 2009, registered Jan 10, 2011 (725 days) · Other

Signals

C••••••••• P••••••• C•••••• left J••• M••••• S••••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2024-06-13)
Jun 14, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address