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

D•••• L•• E•••••••

P••• F•••••••• A•••••••• L••independent RIASan Diego, Ca IA-onlyIAPD 5233684

Certified Financial Planner

Feed of 09/15/2026

Also filed as D•••• E•••••••

At current firm

1 y

since Mar 6, 2025

In the industry

19 y

since Dec 15, 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•••••••• A•••••••• L•• independent RIA current
since Mar 6, 2025 · San Diego, Ca
N••• P•••• F•••••••• P••••••• unclassified
Aug 4, 2022 to Mar 17, 2025 · Prescott, Az
C•••••• S••••• • C••• I••• national BD
Nov 17, 2015 to Aug 2, 2022 · Alpharetta, Ga
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 11, 2011 to Oct 26, 2015 · Alpharetta, Ga
E•••••• C•••••• M••••••••• L•• former
Oct 22, 2009 to Mar 12, 2010 · Arlington, Va
W•••• F•••• A••••••• wirehouse
Jan 1, 2008 to Oct 20, 2009 · Alpharetta, Ga
A• G• E•••••• • S•••• I••• unclassified
Dec 18, 2006 to Jan 1, 2008 · Oxnard, Ca

Moves

a registration end followed by a registration begin elsewhere

N••• P•••• F•••••••• P••••••• to P••• F•••••••• A•••••••• L••
left Mar 17, 2025, registered Mar 6, 2025 (-11 days) · Other
C•••••• S••••• • C••• I••• to N••• P•••• F•••••••• P•••••••
left Aug 2, 2022, registered Aug 4, 2022 (2 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••
left Oct 26, 2015, registered Nov 17, 2015 (22 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 12, 2010, registered Oct 11, 2011 (578 days) · Other
W•••• F•••• A••••••• to E•••••• C•••••• M••••••••• L••
left Oct 20, 2009, registered Oct 22, 2009 (2 days) · Other
A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move

Signals

D•••• L•• E••••••• left N••• P•••• F•••••••• P••••••• for P••• F•••••••• A•••••••• L•• (registered 2025-03-06)
Mar 17, 2025 · Advisor changed firm · fact
D•••• L•• E••••••• left C•••••• S••••• • C••• I••• for N••• P•••• F•••••••• P••••••• (registered 2022-08-04)
Aug 2, 2022 · 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