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••••• R••••• M••••••

M••••• S••••••wirehouseLos Angeles, Cadual registrantIAPD 5349997

Feed of 09/14/2026

Also filed as S••••• M••••••

At current firm

2 y

since Aug 6, 2024

In the industry

16 y

since Dec 30, 2009 (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 Aug 6, 2024 · Los Angeles, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
May 16, 2019 to Apr 18, 2024 · Gardena, Ca
J••• M••••• S••••••••• L•• wirehouse
May 1, 2013 to May 21, 2019 · Los Angeles, Ca
M•• F•••••••• S•••••••• I••• former
Nov 16, 2011 to Apr 12, 2013 · Los Angeles, Ca
J••• M••••• S••••••••• L•• wirehouse
Jul 12, 2010 to Sep 29, 2011 · Los Angeles, Ca
D••••••• B••• S••••••••• I••• no RAUM
Jan 6, 2010 to Jul 29, 2010 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Apr 18, 2024, registered Aug 6, 2024 (110 days) · Affiliated broker-dealer or bank to wirehouse
J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••
left May 21, 2019, registered May 16, 2019 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M•• F•••••••• S•••••••• I••• to J••• M••••• S••••••••• L••
left Apr 12, 2013, registered May 1, 2013 (19 days) · Other
J••• M••••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••
left Sep 29, 2011, registered Nov 16, 2011 (48 days) · Other
D••••••• B••• S••••••••• I••• to J••• M••••• S••••••••• L••
left Jul 29, 2010, registered Jul 12, 2010 (-17 days) · Other

Signals

S••••• R••••• M•••••• left C•••••••• G••••• M•••••• I••• for M••••• S•••••• (registered 2024-08-06)
Apr 18, 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address