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••••• P•••

S•••••••• A••••••• L••national BDWoodland Hills, Ca dual registrantIAPD 5432869

Feed of 09/14/2026

Also filed as S••••• S P•••

At current firm

1 y

since Mar 31, 2025

In the industry

17 y

since Mar 5, 2009 (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

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Northridge, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 8, 2022 to Mar 31, 2025 · Woodland Hills, Ca
W•••• F•••• A••••••• wirehouse
Aug 6, 2021 to May 19, 2022 · Westlake Village, Ca
J••• M••••• S••••••••• L•• wirehouse
Feb 3, 2021 to Jun 22, 2021 · Canoga P•••, Ca
E•••••• C•••••• M••••••••• L•• former
Apr 2, 2019 to Feb 3, 2020 · Los Angeles, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 25, 2018 to Mar 25, 2019 · Woodland Hills, Ca
S•••••••• A••••••• L•• national BD
Mar 2, 2017 to Jan 29, 2018 · Woodland Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left May 19, 2022, registered Jul 8, 2022 (50 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Jun 22, 2021, registered Aug 6, 2021 (45 days) · Wirehouse to wirehouse
E•••••• C•••••• M••••••••• L•• to J••• M••••• S••••••••• L••
left Feb 3, 2020, registered Feb 3, 2021 (366 days) · RIA to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• M••••••••• L••
left Mar 25, 2019, registered Apr 2, 2019 (8 days) · Wirehouse to independent RIA
S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 29, 2018, registered Jan 25, 2018 (-4 days) · Affiliated broker-dealer or bank to wirehouse

Signals

S••••• P••• left W•••• F•••• A••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-07-08)
May 19, 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: National broker-dealer RIAderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address