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•••••••• R••••• C•••••••••

C••••• I••••••••• A••••••• L••BD affiliatedLoma Linda, Ca dual registrantIAPD 4844130

Feed of 09/15/2026

Also filed as S•••••••• C•••••••••

At current firm

0 y

since Dec 16, 2025

In the industry

21 y

since Sep 20, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Dec 16, 2025 · Loma Linda, Ca
L•• F•••••••• L•• BD affiliated
Oct 4, 2022 to Dec 17, 2025 · Corona, Ca
M•••••• A•••••• N•••••• BD affiliated
Nov 1, 2016 to Dec 22, 2025 · Corona, Ca
W••••••••• P••••••• former
Sep 13, 2016 to Mar 28, 2017 · Corona, Ca
T•••••• C••••••• I••• independent RIA
Nov 23, 2015 to Sep 12, 2016 · Corona, Ca
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Jan 21, 2009 to Aug 25, 2016 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

M•••••• A•••••• N•••••• to L•• F•••••••• L••
left Dec 22, 2025, registered Oct 4, 2022 (-1175 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••
left Dec 17, 2025, registered Dec 16, 2025 (-1 days) · Affiliated broker-dealer or bank to another
W••••••••• P••••••• to M•••••• A•••••• N••••••
left Mar 28, 2017, registered Nov 1, 2016 (-147 days) · Other · moved with a team
T•••••• C••••••• I••• to W••••••••• P•••••••
left Sep 12, 2016, registered Sep 13, 2016 (1 days) · Other
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•••••• C••••••• I•••
left Aug 25, 2016, registered Nov 23, 2015 (-276 days) · Other

Signals

S•••••••• R••••• C••••••••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2022-10-04)
Dec 22, 2025 · a•••••• firm change · fact
S•••••••• R••••• C••••••••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2025-12-16)
Dec 17, 2025 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address