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.

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Registered advisor

P•••••• D• A••••

S•••BD affiliatedLos Angeles, CaIA-onlyIAPD 5461801

Feed of 09/14/2026

Also filed as P•••••• D• A••••

At current firm

0 y

since Jan 2, 2026

In the industry

18 y

since Apr 28, 2008 (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

S••• BD affiliated current
since Jan 2, 2026 · Los Angeles, Ca
S•••••••• W•••••• L•• independent RIA
Oct 14, 2020 to Jun 10, 2022 · Los Angeles, Ca
P••••••• C•••••• unclassified
Jun 6, 2017 to Dec 1, 2020 · Los Angeles, Ca
M••••• S•••••• wirehouse
Jun 1, 2009 to Apr 24, 2017 · Los Angeles, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
May 6, 2008 to Jun 1, 2009 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

S•••••••• W•••••• L•• to S•••
left Jun 10, 2022, registered Jan 2, 2026 (1302 days) · RIA to affiliated broker-dealer or bank
P••••••• C•••••• to S•••••••• W•••••• L••
left Dec 1, 2020, registered Oct 14, 2020 (-48 days) · Other
M••••• S•••••• to P••••••• C••••••
left Apr 24, 2017, registered Jun 6, 2017 (43 days) · Other
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

P•••••• D• A•••• left S•••••••• W•••••• L•• for Seia (registered 2026-01-02)
Jun 10, 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address