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••••• A••••• P••••••••

F•••• T•••• S••••••••• I•••BD affiliatedCosta Mesa, Ca dual registrantIAPD 5499421

Certified Financial Planner

Feed of 09/14/2026

Also filed as Sam P••••••••

At current firm

2 y

since Mar 29, 2024

In the industry

18 y

since Apr 29, 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

F•••• T•••• S••••••••• I••• BD affiliated current
since Jul 9, 2026 · Costa Mesa, Ca
A••••••••• F•••••••• S•••••••• L•• national BD current
since Mar 29, 2024 · Costa Mesa, Ca
U••• B•••••• I••••••••• I••• former
Jun 18, 2013 to Apr 22, 2024 · Westlake Village, Ca
I••••• F•••••••• C••••••••• former
May 10, 2012 to Jun 19, 2013 · Newbury Park, Ca
C•••• I••••••••• S••••••• C•••• former
Apr 27, 2010 to May 2, 2012 · Westlake Village, Ca

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Apr 22, 2024, registered Mar 29, 2024 (-24 days) · Affiliated broker-dealer or bank to another
I••••• F•••••••• C••••••••• to U••• B•••••• I••••••••• I•••
left Jun 19, 2013, registered Jun 18, 2013 (-1 days) · Other
C•••• I••••••••• S••••••• C•••• to I••••• F•••••••• C•••••••••
left May 2, 2012, registered May 10, 2012 (8 days) · Other

Signals

S••••• A••••• P•••••••• left U••• B•••••• I••••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-03-29)
Apr 22, 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address