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

B•••••• A•••••••• B•••

E•••••• F•••••••• E••••••independent RIASan Diego, CaIA-onlyIAPD 5651899

Feed of 09/14/2026

Also filed as B•••••• A•••••••• B•••

At current firm

3 y

since Jan 13, 2023

In the industry

14 y

since Dec 22, 2011 (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•••••• F•••••••• E•••••• independent RIA current
since Jan 13, 2023 · San Diego, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Aug 19, 2020 to Dec 15, 2022 · Sunnyvale, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 8, 2015 to Jul 28, 2020 · Mountain View, Ca
E••••• J•••• national BD
Jan 26, 2015 to Jul 28, 2015 · Santa Clara, Ca
E•••••• C•••••• M••••••••• L•• former
Jul 24, 2012 to Aug 18, 2014 · Arlington, Va

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• F•••••••• E••••••
left Dec 15, 2022, registered Jan 13, 2023 (29 days) · Affiliated broker-dealer or bank to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 28, 2020, registered Aug 19, 2020 (22 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 28, 2015, registered Dec 8, 2015 (133 days) · Affiliated broker-dealer or bank to wirehouse
E•••••• C•••••• M••••••••• L•• to E••••• J••••
left Aug 18, 2014, registered Jan 26, 2015 (161 days) · Other

Signals

B•••••• A•••••••• B••• left F••••••• P••••••• A•• W•••••••• A••••••• for E•••••• F•••••••• E•••••• (registered 2023-01-13)
Dec 15, 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: Independent wealth managerderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address