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••••• P•••• N•••••••

C••••• I••••••••• A••••••• L••BD affiliatedChula Vista, CaIA-onlyIAPD 5481629

Certified Financial Planner

Feed of 09/14/2026

Also filed as D••••• P N•••••••

At current firm

1 y

since Sep 5, 2025

In the industry

17 y

since Nov 16, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Sep 5, 2025 · Chula Vista, Ca
A•••••• A••••••• S••••••• former
Nov 21, 2024 to Sep 5, 2025 · Chula Vista, Ca
S•••••• W••••• A••••••• L•• independent RIA
Oct 22, 2019 to Nov 25, 2024 · San Diego, Ca
M•••••• BD affiliated
Jan 15, 2019 to Oct 8, 2019 · San Diego, Ca
S•••••••• I••••••••• A••••••• G••••• L•• independent RIA
Jul 13, 2015 to Jan 16, 2019 · San Diego, Ca
G••••• F•••••••• P•••••• C••••••• I••• former
Feb 18, 2015 to Jun 8, 2016 · San Diego, Ca
S•••••• C• B•••••••• • C••• L•• other
Oct 29, 2010 to Sep 6, 2011 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••
left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
S•••••• W••••• A••••••• L•• to A•••••• A••••••• S•••••••
left Nov 25, 2024, registered Nov 21, 2024 (-4 days) · RIA to affiliated broker-dealer or bank
M•••••• to S•••••• W••••• A••••••• L••
left Oct 8, 2019, registered Oct 22, 2019 (14 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• I••••••••• A••••••• G••••• L•• to M••••••
left Jan 16, 2019, registered Jan 15, 2019 (-1 days) · RIA to RIA
G••••• F•••••••• P•••••• C••••••• I••• to S•••••••• I••••••••• A••••••• G••••• L••
left Jun 8, 2016, registered Jul 13, 2015 (-331 days) · Other
S•••••• C• B•••••••• • C••• L•• to G••••• F•••••••• P•••••• C••••••• I•••
left Sep 6, 2011, registered Feb 18, 2015 (1261 days) · Other

Signals

D••••• P•••• N••••••• left S•••••• W••••• A••••••• L•• for A•••••• A••••••• S••••••• (registered 2024-11-21)
Nov 25, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address