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•••• S•••• F•••

W•••• F•••• A•••••••wirehouseLa Habra, Ca dual registrantIAPD 4744027

Feed of 09/15/2026

Also filed as C•••• F•••

At current firm

2 y

since Jun 27, 2024

In the industry

22 y

since Mar 26, 2004 (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

W•••• F•••• A••••••• wirehouse current
since Jun 27, 2024 · Pasadena, Ca
C••• F•••••••• S•••••••• L••• former
Jul 1, 2019 to Jun 27, 2024 · San Diego, Ca
L•• F•••••••• L•• BD affiliated
Aug 1, 2014 to Jul 11, 2019 · Huntington Beach, Ca
E•••••••• A•••••••• L•• national BD
Dec 13, 2013 to Aug 1, 2014 · Anaheim, Ca
C••• B•••••••• S•••••••• I••• former
Jun 8, 2011 to Sep 19, 2013 · Tustin, Ca
C••• B•••••••• S•••••••• I••• former
Jun 7, 2007 to Oct 27, 2010 · Tustin, Ca
A••••••••• A•••••• S•••••••• I••• unclassified
Nov 6, 2006 to Apr 23, 2007 · Irvine, Ca
U•• F•••••••• S••••••• I••• wirehouse
Mar 29, 2004 to Nov 14, 2006 · Newport Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to W•••• F•••• A•••••••
left Jun 27, 2024, registered Jun 27, 2024 (0 days) · Affiliated broker-dealer or bank to wirehouse
L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••
left Jul 11, 2019, registered Jul 1, 2019 (-10 days) · RIA to affiliated broker-dealer or bank · moved with a team
E•••••••• A•••••••• L•• to L•• F•••••••• L••
left Aug 1, 2014, registered Aug 1, 2014 (0 days) · Other
C••• B•••••••• S•••••••• I••• to E•••••••• A•••••••• L••
left Sep 19, 2013, registered Dec 13, 2013 (85 days) · Other
A••••••••• A•••••• S•••••••• I••• to C••• B•••••••• S•••••••• I•••
left Apr 23, 2007, registered Jun 7, 2007 (45 days) · Other
U•• F•••••••• S••••••• I••• to A••••••••• A•••••• S•••••••• I•••
left Nov 14, 2006, registered Nov 6, 2006 (-8 days) · Other

Signals

C•••• S•••• F••• left C••• F•••••••• S•••••••• L••• for W•••• F•••• A••••••• (registered 2024-06-27)
Jun 27, 2024 · a•••••• firm change · 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: Wirehousederived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address