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••••••••• L••••

U••• B•••••• A•••••••• L••BD affiliatedLong Beach, Cadual registrantIAPD 6212951

Feed of 09/14/2026

Also filed as P••••• C L••••

At current firm

0 y

since Feb 13, 2026

In the industry

13 y

since Jul 19, 2013 (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

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Long Beach, Ca
U••• B•••••• I••••••••• I••• former
Jul 23, 2024 to Feb 13, 2026 · Long Beach, Ca
L•• F•••••••• L•• BD affiliated
Jan 10, 2024 to Jul 26, 2024 · Beverly Hills, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 21, 2023 to Dec 27, 2023 · Pasadena, Ca
M••••• S•••••• wirehouse
Dec 9, 2022 to Aug 10, 2023 · Menlo Park, Ca
W•••• F•••• A••••••• wirehouse
Jan 8, 2021 to Dec 14, 2022 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
L•• F•••••••• L•• to U••• B•••••• I••••••••• I•••
left Jul 26, 2024, registered Jul 23, 2024 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••
left Dec 27, 2023, registered Jan 10, 2024 (14 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 10, 2023, registered Aug 21, 2023 (11 days) · Wirehouse to wirehouse
W•••• F•••• A••••••• to M••••• S••••••
left Dec 14, 2022, registered Dec 9, 2022 (-5 days) · Wirehouse to wirehouse

Signals

P••••• C••••••••• L•••• left L•• F•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2024-07-23)
Jul 26, 2024 · Advisor changed firm · fact
P••••• C••••••••• L•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for L•• F•••••••• L•• (registered 2024-01-10)
Dec 27, 2023 · Advisor changed firm · fact
P••••• C••••••••• L•••• left M••••• S•••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-08-21)
Aug 10, 2023 · Advisor changed firm · fact
P••••• C••••••••• L•••• left W•••• F•••• A••••••• for M••••• S•••••• (registered 2022-12-09)
Dec 14, 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address