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

S•••• A••••••• Y••••••••

M••••• S••••••wirehouseLos Angeles, Cadual registrantIAPD 4808414

Feed of 09/14/2026

Also filed as S•••• A•••••••

At current firm

0 y

since Jun 16, 2026

In the industry

22 y

since Aug 13, 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

M••••• S•••••• wirehouse current
since Jun 16, 2026 · Los Angeles, Ca
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Jun 21, 2026 · Westlake, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
May 9, 2016 to Sep 7, 2023 · Beverly Hills, Ca
T• A••••••••• I••• former
May 9, 2016 to Oct 14, 2022 · Beverly Hills, Ca
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Apr 29, 2015 · Santa Monica, Ca
W•••• F•••• I••••••••• L•• unclassified
Aug 16, 2004 to Jan 3, 2011 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to M••••• S••••••
left Jun 21, 2026, registered Jun 16, 2026 (-5 days) · Affiliated broker-dealer or bank to wirehouse
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered May 9, 2016 (-2349 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to T• A••••••••• I•••
left Apr 29, 2015, registered May 9, 2016 (376 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

S•••• A••••••• Y•••••••• left C•••••• S••••• • C••• I••• for M••••• S•••••• (registered 2026-06-16)
Jun 21, 2026 · 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: Wirehousederived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address