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.

Registered advisor

Hamy Sharifi

LPL Financial LLCBD affiliatedNewport Beach, Cadual registrantIAPD 5008400
Feed of 09/14/2026
Also filed as Hamy Sharifi
At current firm
3 y
since Jul 19, 2023
In the industry
20 y
since Aug 15, 2006 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
Signals
  • Hamy Sharifi no longer holds an investment adviser registration (last listed at Lpl Financial Llc on the 2026-09-16 feed)
    Sep 16, 2026 · Advisor registration ended · derived
  • Hamy Sharifi left Citigroup Global Markets Inc. for Bancwest Investment Services, Inc. (Bwis) (registered 2023-02-17)
    Feb 17, 2023 · Advisor changed firm · fact
  • Hamy Sharifi left Bancwest Investment Services, Inc. (Bwis) for Citigroup Global Markets Inc. (registered 2022-03-08)
    Mar 18, 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
20derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address