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

P••••• C•••••• S••••••

A•• W••••• M•••••••••independent RIASan Diego, Ca dual registrantIAPD 5950595

Feed of 09/15/2026

At current firm

1 y

since Mar 18, 2025

In the industry

10 y

since Sep 1, 2016 (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••••••••• W••••• mixed wealth current
since Jun 10, 2026 · San Diego, Ca
A•• W••••• M••••••••• independent RIA current
since Mar 18, 2025 · San Diego, Ca
C••••• I••••••••• A••••••• L•• BD affiliated
Sep 5, 2025 to Jan 21, 2026 · San Diego, Ca
A•••••• A••••••• S••••••• former
May 5, 2022 to Sep 5, 2025 · San Diego, Ca
F•• S••••••••• C••••••••• former
Oct 25, 2018 to May 6, 2022 · San Diego, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 6, 2017 to May 4, 2018 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to S••••••••• W•••••
left Jan 21, 2026, registered Jun 10, 2026 (140 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
A•••••• A••••••• S••••••• to A•• W••••• M•••••••••
left Sep 5, 2025, registered Mar 18, 2025 (-171 days) · Affiliated broker-dealer or bank to independent RIA
F•• S••••••••• C••••••••• to A•••••• A••••••• S•••••••
left May 6, 2022, registered May 5, 2022 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•• S••••••••• C•••••••••
left May 4, 2018, registered Oct 25, 2018 (174 days) · Wirehouse to affiliated broker-dealer or bank

Signals

P••••• C•••••• S•••••• left C••••• I••••••••• A••••••• L•• for S••••••••• W••••• (registered 2026-06-10)
Jan 21, 2026 · Advisor changed firm · fact
P••••• C•••••• S•••••• left A•••••• A••••••• S••••••• for A•• W••••• M••••••••• (registered 2025-03-18)
Sep 5, 2025 · Advisor changed firm · fact
P••••• C•••••• S•••••• left F•• S••••••••• C••••••••• for A•••••• A••••••• S••••••• (registered 2022-05-05)
May 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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address