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

N••• E•••••

R•• S••••••••• I•••BD affiliatedWoodland Hills, Ca dual registrantIAPD 5772009

Certified Financial Planner

Feed of 09/15/2026

Also filed as N••• E•••••

At current firm

1 y

since Jan 17, 2025

In the industry

14 y

since Aug 1, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•• S••••••••• I••• BD affiliated current
since Jan 17, 2025 · Woodland Hills, Ca
J••• M••••• S••••••••• L•• wirehouse
Jun 10, 2022 to Nov 23, 2024 · Santa Monica, Ca
R•• S••••••••• I••• BD affiliated
Feb 5, 2020 to Jun 6, 2022 · Beverly Hills, Ca
R•• R•••••••• L•• BD affiliated
Mar 6, 2014 to Oct 31, 2016 · Los Angeles, Ca
V•••• F•••••••• A•••••••• I••• BD affiliated
Aug 1, 2012 to Feb 20, 2014 · Woodland Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to R•• S••••••••• I•••
left Nov 23, 2024, registered Jan 17, 2025 (55 days) · Wirehouse to independent RIA
R•• S••••••••• I••• to J••• M••••• S••••••••• L••
left Jun 6, 2022, registered Jun 10, 2022 (4 days) · RIA to wirehouse
R•• R•••••••• L•• to R•• S••••••••• I•••
left Oct 31, 2016, registered Feb 5, 2020 (1192 days) · Other
V•••• F•••••••• A•••••••• I••• to R•• R•••••••• L••
left Feb 20, 2014, registered Mar 6, 2014 (14 days) · Other

Signals

N••• E••••• left J••• M••••• S••••••••• L•• for R•• S••••••••• I••• (registered 2025-01-17)
Nov 23, 2024 · Advisor changed firm · fact
N••• E••••• left R•• S••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2022-06-10)
Jun 6, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address