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••••• S•••••••• C•••••••••

J•• I••••••••• A•• W••••• P••••••••• L••state registeredValley Center, CaIA-onlyIAPD 5357733

Feed of 09/14/2026

Also filed as D••••• S••••••••

At current firm

0 y

since Jun 23, 2026

In the industry

18 y

since Mar 22, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J•• I••••••••• A•• W••••• P••••••••• L•• state registered current
since Jun 23, 2026 · Valley Center, Ca
L•• F•••••••• L•• BD affiliated
Jul 26, 2024 to Apr 8, 2026 · Valley Center, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 16, 2015 to Jul 5, 2024 · Oceanside, Ca
U••• B•••••• A•••••••• L•• BD affiliated
Oct 11, 2012 to Aug 31, 2015 · Encinitas, Ca
T••••••••• F•••••••• A•••••••• L•• BD affiliated
May 2, 2012 to Sep 18, 2012 · Gold River, Ca
C•••• I••••••••• S••••••• C•••• former
Dec 15, 2010 to Apr 27, 2011 · Chicago, Il
U••• B•••••• A•••••••• L•• BD affiliated
Feb 25, 2010 to Aug 3, 2010 · Encinitas, Ca
U••• B•••••• A•••••••• L•• BD affiliated
Jul 10, 2008 to Jul 9, 2009 · Escondido, Ca

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to J•• I••••••••• A•• W••••• P••••••••• L••
left Apr 8, 2026, registered Jun 23, 2026 (76 days) · Affiliated broker-dealer or bank to a state-registered adviser
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••
left Jul 5, 2024, registered Jul 26, 2024 (21 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
U••• B•••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 31, 2015, registered Sep 16, 2015 (16 days) · Other
T••••••••• F•••••••• A•••••••• L•• to U••• B•••••• A•••••••• L••
left Sep 18, 2012, registered Oct 11, 2012 (23 days) · Other
C•••• I••••••••• S••••••• C•••• to T••••••••• F•••••••• A•••••••• L••
left Apr 27, 2011, registered May 2, 2012 (371 days) · Other
U••• B•••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••
left Aug 3, 2010, registered Dec 15, 2010 (134 days) · Other

Signals

D••••• S•••••••• C••••••••• left L•• F•••••••• L•• for J•• I••••••••• A•• W••••• P••••••••• L•• (registered 2026-06-23)
Apr 8, 2026 · Advisor changed firm · fact
D••••• S•••••••• C••••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for L•• F•••••••• L•• (registered 2024-07-26)
Jul 5, 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: STATE REGISTEREDderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address