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••••• L••• N••••••

L•• F•••••••• L••BD affiliatedSan Diego, Cadual registrantIAPD 5093192

Certified Financial Planner · Personal Financial Specialist

Feed of 09/14/2026

Also filed as S••••• N••••••

At current firm

0 y

since Nov 24, 2025

In the industry

20 y

since Feb 21, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Nov 24, 2025 · San Diego, Ca
C••••• I••••••••• A••••••• L•• BD affiliated
Sep 5, 2025 to Dec 9, 2025 · San Diego, Ca
A•••••• A••••••• S••••••• former
Oct 19, 2020 to Sep 5, 2025 · San Diego, Ca
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
May 23, 2017 to Nov 3, 2020 · San Diego, Ca
A•••••• A••••••• S••••••• former
Oct 25, 2012 to May 31, 2017 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left Dec 9, 2025, registered Nov 24, 2025 (-15 days) · Affiliated broker-dealer or bank to another · moved with a team
A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••
left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
C•••••••• I••••••••• R••••••• A•••••••• I••• to A•••••• A••••••• S•••••••
left Nov 3, 2020, registered Oct 19, 2020 (-15 days) · Affiliated broker-dealer or bank to another
A•••••• A••••••• S••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left May 31, 2017, registered May 23, 2017 (-8 days) · Other

Signals

S••••• L••• N•••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2025-11-24)
Dec 9, 2025 · 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