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

E•••••• R••• Z•••

L•• F•••••••• L••BD affiliatedPetaluma, Ca dual registrantIAPD 5109521

Feed of 09/15/2026

At current firm

1 y

since Sep 19, 2024

In the industry

19 y

since Jan 5, 2007 (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

L•• F•••••••• L•• BD affiliated current
since Sep 19, 2024 · Pleasant Hill, Ca
C••• F•••••••• S•••••••• L••• former
Mar 14, 2023 to Sep 18, 2024 · Napa, Ca
U••• B•••••• I••••••••• I••• former
Jun 1, 2012 to Mar 10, 2023 · Santa Monica, Ca
C•••• I••••••••• S••••••• C•••• former
May 2, 2009 to Jun 4, 2012 · Marina Del Rey, Ca
W••• I••••••••• I••• unclassified
Jan 30, 2008 to May 2, 2009 · Los Angeles, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Jan 8, 2007 to Feb 19, 2008 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
left Sep 18, 2024, registered Sep 19, 2024 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
U••• B•••••• I••••••••• I••• to C••• F•••••••• S•••••••• L•••
left Mar 10, 2023, registered Mar 14, 2023 (4 days) · Affiliated broker-dealer or bank to another
C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••
left Jun 4, 2012, registered Jun 1, 2012 (-3 days) · Other
W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••
left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
A••••••••• F•••••••• S•••••••• L•• to W••• I••••••••• I•••
left Feb 19, 2008, registered Jan 30, 2008 (-20 days) · Other

Signals

E•••••• R••• Z••• left C••• F•••••••• S•••••••• L••• for L•• F•••••••• L•• (registered 2024-09-19)
Sep 18, 2024 · Advisor changed firm · fact
E•••••• R••• Z••• left U••• B•••••• I••••••••• I••• for C••• F•••••••• S•••••••• L••• (registered 2023-03-14)
Mar 10, 2023 · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address