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

F•••• J••••• U••

L•• F•••••••• L••BD affiliatedLake Forest, Ca dual registrantIAPD 4660687

Feed of 09/15/2026

Also filed as F•••• J••••• U••

At current firm

1 y

since Mar 31, 2025

In the industry

18 y

since Jan 1, 2008 (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

L•• F•••••••• L•• BD affiliated current
since Mar 31, 2025 · Lake Forest, Ca
C••••• A•••• M••••••••• independent RIA
Aug 27, 2024 to Dec 24, 2024 · Newport Beach, Ca
T••••••• I••••••••• M••••••••• I••• BD affiliated
Apr 5, 2024 to Aug 14, 2024 · Irvine, Ca
N••••••••• M••••• I••••••••• S••••••••• no RAUM
May 22, 2023 to Nov 7, 2023 · Irvine, Ca
M••••• S•••••• wirehouse
May 24, 2019 to Apr 17, 2023 · Newport Beach, Ca
W•••• F•••• A••••••• wirehouse
Sep 14, 2010 to May 29, 2019 · Irvine, Ca
W•••• F•••• I••••••••• L•• unclassified
Jul 20, 2009 to Sep 10, 2010 · Laguna Niguel, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••• A•••• M••••••••• to L•• F•••••••• L••
left Dec 24, 2024, registered Mar 31, 2025 (97 days) · RIA to affiliated broker-dealer or bank
T••••••• I••••••••• M••••••••• I••• to C••••• A•••• M•••••••••
left Aug 14, 2024, registered Aug 27, 2024 (13 days) · Affiliated broker-dealer or bank to independent RIA
N••••••••• M••••• I••••••••• S••••••••• to T••••••• I••••••••• M••••••••• I•••
left Nov 7, 2023, registered Apr 5, 2024 (150 days) · Other
M••••• S•••••• to N••••••••• M••••• I••••••••• S•••••••••
left Apr 17, 2023, registered May 22, 2023 (35 days) · Other
W•••• F•••• A••••••• to M••••• S••••••
left May 29, 2019, registered May 24, 2019 (-5 days) · Wirehouse to wirehouse · moved with a team
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Sep 10, 2010, registered Sep 14, 2010 (4 days) · Other

Signals

F•••• J••••• U•• left C••••• A•••• M••••••••• for L•• F•••••••• L•• (registered 2025-03-31)
Dec 24, 2024 · Advisor changed firm · fact
F•••• J••••• U•• left T••••••• I••••••••• M••••••••• I••• for C••••• A•••• M••••••••• (registered 2024-08-27)
Aug 14, 2024 · Advisor changed firm · fact
F•••• J••••• U•• left N••••••••• M••••• I••••••••• S••••••••• for T••••••• I••••••••• M••••••••• I••• (registered 2024-04-05)
Nov 7, 2023 · Advisor changed firm · fact
F•••• J••••• U•• left M••••• S•••••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2023-05-22)
Apr 17, 2023 · 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address