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••• M•••••• O•••••

C••••••• P••••••• I••••••••• A•••••••• L••i••••••••• managerNewport Beach, Ca IA-onlyIAPD 5286903

Feed of 09/14/2026

Also filed as D•••Las M•••••• O•••••

At current firm

1 y

since Dec 2, 2024

In the industry

18 y

since Jan 14, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••• P••••••• I••••••••• A•••••••• L•• i••••••••• manager current
since Dec 2, 2024 · Newport Beach, Ca
G••••• R••••••••• P••••••• L•• i••••••••• manager
May 3, 2021 to Dec 4, 2024 · San Rafael, Ca
I••••••••• F•••••••• P••••••• BD affiliated
Jul 18, 2011 to Jun 1, 2021 · Frederick, Md
L•• F•••••••• L•• BD affiliated
Nov 30, 2010 to May 13, 2011 · Fort Mill, Sc
N•• A•••••••• I••• unclassified
Jun 7, 2010 to Nov 30, 2010 · Frederick, Md

Moves

a registration end followed by a registration begin elsewhere

G••••• R••••••••• P••••••• L•• to C••••••• P••••••• I••••••••• A•••••••• L••
left Dec 4, 2024, registered Dec 2, 2024 (-2 days) · Other
I••••••••• F•••••••• P••••••• to G••••• R••••••••• P••••••• L••
left Jun 1, 2021, registered May 3, 2021 (-29 days) · Other
L•• F•••••••• L•• to I••••••••• F•••••••• P•••••••
left May 13, 2011, registered Jul 18, 2011 (66 days) · Other
N•• A•••••••• I••• to L•• F•••••••• L••
left Nov 30, 2010, registered Nov 30, 2010 (0 days) · corporate re-registration, not a move

Signals

D••• M•••••• O••••• left G••••• R••••••••• P••••••• L•• for C••••••• P••••••• I••••••••• A•••••••• L•• (registered 2024-12-02)
Dec 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: I••••••••• MANAGERderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address