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.

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Registered advisor

C•••••• P•••••• F••••••••

L•••independent RIALos Angeles, Ca IA-onlyIAPD 5168755

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

At current firm

2 y

since Jan 23, 2024

In the industry

19 y

since Feb 1, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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••• independent RIA current
since Jan 23, 2024 · Los Angeles, Ca
L••• A•• R••••••• independent RIA
Jan 8, 2024 to Feb 2, 2024 · Highlands Ranch, Co
A• W••••• M••••••••• L•• BD affiliated
Feb 14, 2022 to Jan 24, 2024 · Highlands Ranch, Co
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Aug 2, 2013 to Dec 31, 2021 · Englewood, Co

Moves

a registration end followed by a registration begin elsewhere

L••• A•• R••••••• to L•••
left Feb 2, 2024, registered Jan 23, 2024 (-10 days) · Other
A• W••••• M••••••••• L•• to L••• A•• R•••••••
left Jan 24, 2024, registered Jan 8, 2024 (-16 days) · Affiliated broker-dealer or bank to a newly registered adviser
N••••••••• M••••• I••••••••• S••••••••• to A• W••••• M••••••••• L••
left Dec 31, 2021, registered Feb 14, 2022 (45 days) · Other

Signals

C•••••• P•••••• F•••••••• left L••• A•• R••••••• for Lido (registered 2024-01-23)
Feb 2, 2024 · Advisor changed firm · fact
C•••••• P•••••• F•••••••• left A• W••••• M••••••••• L•• for L••• A•• R••••••• (registered 2024-01-08)
Jan 24, 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address