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

M•••••• E•••••• B•••••••

E•••• S••••••••• L••BD affiliatedSan Dimas, Cadual registrantIAPD 5426112

Feed of 09/14/2026

At current firm

1 y

since Mar 4, 2025

In the industry

13 y

since Feb 26, 2013 (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

E•••• S••••••••• L•• BD affiliated current
since Mar 4, 2025 · San Dimas, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 14, 2023 to Dec 19, 2024 · Ontario, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
May 5, 2021 to Nov 2, 2022 · Chino Hills, Ca
M•• I•••••••• S•••••••• L•• BD affiliated
Feb 16, 2018 to Nov 11, 2020 · Pasadena, Ca
V•••• F•••••••• A•••••••• I••• BD affiliated
Dec 3, 2013 to Jan 18, 2018 · San Diego, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 28, 2013 to Dec 2, 2013 · Santa Monica, Ca
T• A••••••••• I••• former
Feb 28, 2013 to Dec 2, 2013 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••• S••••••••• L••
left Dec 19, 2024, registered Mar 4, 2025 (75 days) · Wirehouse to affiliated broker-dealer or bank
A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 2, 2022, registered Jul 14, 2023 (254 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Nov 11, 2020, registered May 5, 2021 (175 days) · Affiliated broker-dealer or bank to another
V•••• F•••••••• A•••••••• I••• to M•• I•••••••• S•••••••• L••
left Jan 18, 2018, registered Feb 16, 2018 (29 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to V•••• F•••••••• A•••••••• I•••
left Dec 2, 2013, registered Dec 3, 2013 (1 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Dec 2, 2013, registered Feb 28, 2013 (-277 days) · channel change inside one enterprise, not a move

Signals

M•••••• E•••••• B••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for E•••• S••••••••• L•• (registered 2025-03-04)
Dec 19, 2024 · Advisor changed firm · fact
M•••••• E•••••• B••••••• left A••••••••• F•••••••• S•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-07-14)
Nov 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: Broker-dealer affiliated wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address