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

A•••••• L••••

R•• S••••••••• I•••BD affiliatedLos Angeles, Ca dual registrantIAPD 4713077

Feed of 09/14/2026

Also filed as A•••••• L••••

At current firm

2 y

since Sep 18, 2024

In the industry

13 y

since Aug 1, 2013 (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

R•• S••••••••• I••• BD affiliated current
since Sep 18, 2024 · Los Angeles, Ca
C••• F•••••••• S•••••••• L••• former
May 10, 2022 to Aug 23, 2024 · San Diego, Ca
R•• S••••••••• I••• BD affiliated
Apr 16, 2021 to May 9, 2022 · Los Angeles, Ca
W•••••• S••••••••• I••• BD affiliated
Jun 20, 2019 to Mar 30, 2021 · Los Angeles, Ca
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Oct 15, 2013 to Jun 18, 2019 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to R•• S••••••••• I•••
left Aug 23, 2024, registered Sep 18, 2024 (26 days) · Affiliated broker-dealer or bank to independent RIA
R•• S••••••••• I••• to C••• F•••••••• S•••••••• L•••
left May 9, 2022, registered May 10, 2022 (1 days) · RIA to affiliated broker-dealer or bank
W•••••• S••••••••• I••• to R•• S••••••••• I•••
left Mar 30, 2021, registered Apr 16, 2021 (17 days) · Affiliated broker-dealer or bank to independent RIA
N••••••••• M••••• I••••••••• S••••••••• to W•••••• S••••••••• I•••
left Jun 18, 2019, registered Jun 20, 2019 (2 days) · Other

Signals

A•••••• L•••• left C••• F•••••••• S•••••••• L••• for R•• S••••••••• I••• (registered 2024-09-18)
Aug 23, 2024 · Advisor changed firm · fact
A•••••• L•••• left R•• S••••••••• I••• for C••• F•••••••• S•••••••• L••• (registered 2022-05-10)
May 9, 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address