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

D•••• M•••••• C••••

S••••• W••••• M••••••••• L••independent RIALos Angeles, Ca IA-onlyIAPD 50327

Feed of 09/14/2026

At current firm

1 y

since May 27, 2025

In the industry

44 y

since Jul 7, 1982 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••••• W••••• M••••••••• L•• independent RIA current
since May 27, 2025 · Los Angeles, Ca
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Jan 12, 2024 to May 31, 2025 · Los Angeles, Ca
S•••••••• F•••••••• A••••••• L•• former
Apr 12, 2017 to Jan 19, 2024 · Los Angeles, Ca
R•• R•••••••• L•• BD affiliated
Nov 3, 2000 to Feb 21, 2017 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••• W••••• M••••••••• L••
left May 31, 2025, registered May 27, 2025 (-4 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• F•••••••• A••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jan 19, 2024, registered Jan 12, 2024 (-7 days) · Other · moved with a team
R•• R•••••••• L•• to S•••••••• F•••••••• A••••••• L••
left Feb 21, 2017, registered Apr 12, 2017 (50 days) · Other

Signals

D•••• M•••••• C•••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for S••••• W••••• M••••••••• L•• (registered 2025-05-27)
May 31, 2025 · Advisor changed firm · fact
D•••• M•••••• C•••• left S•••••••• F•••••••• A••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-01-12)
Jan 19, 2024 · 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: Independent wealth managerderived
Years in industry: 44derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address