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

H••••• M•••••••

P••••••••• F••••••••• L••independent RIAValencia, CaIA-onlyIAPD 5088792

Feed of 09/14/2026

At current firm

2 y

since Aug 6, 2024

In the industry

20 y

since Apr 25, 2006 (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

P••••••••• F••••••••• L•• independent RIA current
since Aug 6, 2024 · Valencia, Ca
L•• F•••••••• L•• BD affiliated
Feb 24, 2015 to Aug 15, 2024 · Brea, Ca
M••••• S•••••• wirehouse
Jun 1, 2009 to Feb 24, 2015 · Brea, Ca
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Jun 1, 2009 · Brea, Ca
M••••• S•••••• D• I••• unclassified
Apr 26, 2006 to Apr 2, 2007 · Brea, Ca

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to P••••••••• F••••••••• L••
left Aug 15, 2024, registered Aug 6, 2024 (-9 days) · Affiliated broker-dealer or bank to independent RIA
M••••• S•••••• to L•• F•••••••• L••
left Feb 24, 2015, registered Feb 24, 2015 (0 days) · Other
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

Signals

H••••• M••••••• left L•• F•••••••• L•• for P••••••••• F••••••••• L•• (registered 2024-08-06)
Aug 15, 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address