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

R••••• M•••••• G•••••

L•• F•••••••• L••BD affiliatedTustin, Ca dual registrantIAPD 5317394

Feed of 09/14/2026

Also filed as R••••• M•••••• G•••••

At current firm

1 y

since May 15, 2025

In the industry

29 y

since Sep 1, 1997 (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 May 15, 2025 · Tustin, Ca
C••• F•••••••• S•••••••• L••• former
Jan 13, 2023 to May 15, 2025 · Laguna Niguel,, Ca
W••••• F•••••••• S•••••••• L•• former
Nov 23, 2016 to Feb 6, 2023 · Pasadena, Ca
C••••• • A••••••••• I••• independent RIA
Dec 10, 2015 to Nov 29, 2016 · Huntington Beach, Ca
J••• M••••• S••••••••• L•• wirehouse
Mar 20, 2013 to Nov 20, 2015 · Mission Viejo, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 3, 2011 to Mar 5, 2013 · Rancho Santa Margarita, Ca
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Sep 27, 2011 · Laguna Niguel, Ca
W•••• F•••• I••••••••• L•• unclassified
Aug 28, 2007 to Jan 3, 2011 · Laguna Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
W••••• F•••••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••
left Feb 6, 2023, registered Jan 13, 2023 (-24 days) · RIA to affiliated broker-dealer or bank · moved with a team
C••••• • A••••••••• I••• to W••••• F•••••••• S•••••••• L••
left Nov 29, 2016, registered Nov 23, 2016 (-6 days) · Other
J••• M••••• S••••••••• L•• to C••••• • A••••••••• I•••
left Nov 20, 2015, registered Dec 10, 2015 (20 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
left Mar 5, 2013, registered Mar 20, 2013 (15 days) · Wirehouse to wirehouse
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 27, 2011, registered Nov 3, 2011 (37 days) · Wirehouse to wirehouse
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

R••••• M•••••• G••••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-13)
Feb 6, 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address