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••••• O••••••••

M••••• S••••••wirehouseNewport Beach, Cadual registrantIAPD 5200391

Feed of 09/14/2026

Also filed as S••••• Oh

At current firm

1 y

since Oct 30, 2024

In the industry

17 y

since Nov 17, 2008 (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

M••••• S•••••• wirehouse current
since Oct 30, 2024 · Newport Beach, Ca
U•• F•••••••• S••••••• I••• wirehouse
Jun 11, 2024 to Oct 18, 2024 · Irvine, Ca
M••••• S•••••• wirehouse
Jun 23, 2020 to Jun 4, 2024 · Carlsbad, Ca
W••••••• F•••••••• S•••••••• I••• former
Apr 1, 2020 to Apr 21, 2020 · Carlsbad, Ca
W•••• F•••• A••••••• wirehouse
Sep 12, 2018 to Mar 23, 2020 · San Diego, Ca
M••••• S•••••• wirehouse
May 11, 2018 to Sep 4, 2018 · Carlsbad, Ca
W•••• F•••• A••••••• wirehouse
Nov 18, 2008 to Jul 21, 2016 · La Jolla, Ca

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to M••••• S••••••
left Oct 18, 2024, registered Oct 30, 2024 (12 days) · Wirehouse to wirehouse · moved with a team
M••••• S•••••• to U•• F•••••••• S••••••• I•••
left Jun 4, 2024, registered Jun 11, 2024 (7 days) · Wirehouse to wirehouse
W••••••• F•••••••• S•••••••• I••• to M••••• S••••••
left Apr 21, 2020, registered Jun 23, 2020 (63 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to W••••••• F•••••••• S•••••••• I•••
left Mar 23, 2020, registered Apr 1, 2020 (9 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to W•••• F•••• A•••••••
left Sep 4, 2018, registered Sep 12, 2018 (8 days) · Wirehouse to wirehouse · moved with a team
W•••• F•••• A••••••• to M••••• S••••••
left Jul 21, 2016, registered May 11, 2018 (659 days) · Wirehouse to wirehouse · moved with a team

Signals

S••••• O•••••••• left U•• F•••••••• S••••••• I••• for M••••• S•••••• (registered 2024-10-30)
Oct 18, 2024 · Advisor changed firm · fact
S••••• O•••••••• left M••••• S•••••• for U•• F•••••••• S••••••• I••• (registered 2024-06-11)
Jun 4, 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: Wirehousederived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address