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

M•••• C•••• R••••••

H••••••• W••••• P•••••••independent RIASherman Oaks, CaIA-onlyIAPD 6178879

Certified Financial Planner

Feed of 09/14/2026

Also filed as M•••• C R••••••

At current firm

3 y

since Jul 20, 2023

In the industry

13 y

since Apr 30, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H••••••• W••••• P••••••• independent RIA current
since Jul 20, 2023 · Sherman Oaks, Ca
U•••• W••••• M••••••••• O• U•• independent RIA
Mar 2, 2018 to Jul 26, 2023 · Henderson, Nv
S•••••••• W•••••• L•• independent RIA
Jun 2, 2016 to Mar 12, 2018 · Los Angeles, Ca
T•••••• C••••••• I••• independent RIA
Dec 1, 2015 to Jul 21, 2016 · Woodland Hills, Ca
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Aug 13, 2014 to Jun 2, 2016 · Woodland Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

U•••• W••••• M••••••••• O• U•• to H••••••• W••••• P•••••••
left Jul 26, 2023, registered Jul 20, 2023 (-6 days) · RIA to RIA
S•••••••• W•••••• L•• to U•••• W••••• M••••••••• O• U••
left Mar 12, 2018, registered Mar 2, 2018 (-10 days) · Other
T•••••• C••••••• I••• to S•••••••• W•••••• L••
left Jul 21, 2016, registered Jun 2, 2016 (-49 days) · Other
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•••••• C••••••• I•••
left Jun 2, 2016, registered Dec 1, 2015 (-184 days) · Other · moved with a team

Signals

M•••• C•••• R•••••• left U•••• W••••• M••••••••• O• U•• for H••••••• W••••• P••••••• (registered 2023-07-20)
Jul 26, 2023 · advisor firm c••••e · 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address