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

E••••• M••••• S•••••

B••••••• W••••• M•••••••••formerCosta Mesa, CaIA-onlyIAPD 6249988

Feed of 09/14/2026

Also filed as Rico Malpas Santos

At current firm

1 y

since Feb 28, 2025

In the industry

12 y

since Dec 20, 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

B••••••• W••••• M••••••••• former current
since Feb 28, 2025 · Costa Mesa, Ca
L•• E••••••••• L•• BD affiliated
Nov 14, 2024 to Mar 5, 2025 · Orange, Ca
P•••• S••••••••• L•• no RAUM
Nov 22, 2022 to Nov 14, 2024 · Los Angeles, Ca
M••••• S•••••• wirehouse
Mar 28, 2018 to Dec 13, 2022 · Irvine, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 20, 2016 to Jan 29, 2018 · Redondo Beach, Ca
W••••• F•••••••• S•••••••• L•• former
May 24, 2016 to Jun 21, 2016 · Pasadena, Ca
E••••• J•••• national BD
Nov 27, 2015 to Apr 6, 2016 · Anaheim Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

L•• E••••••••• L•• to B••••••• W••••• M•••••••••
left Mar 5, 2025, registered Feb 28, 2025 (-5 days) · Other
P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
M••••• S•••••• to P•••• S••••••••• L••
left Dec 13, 2022, registered Nov 22, 2022 (-21 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Jan 29, 2018, registered Mar 28, 2018 (58 days) · Wirehouse to wirehouse · moved with a team
W••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 21, 2016, registered Jul 20, 2016 (29 days) · RIA to wirehouse
E••••• J•••• to W••••• F•••••••• S•••••••• L••
left Apr 6, 2016, registered May 24, 2016 (48 days) · Affiliated broker-dealer or bank to independent RIA

Signals

E••••• M••••• S••••• left L•• E••••••••• L•• for B••••••• W••••• M••••••••• (registered 2025-02-28)
Mar 5, 2025 · Advisor changed firm · fact
E••••• M••••• S••••• left M••••• S•••••• for P•••• S••••••••• L•• (registered 2022-11-22)
Dec 13, 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: Former SEC-registered adviserderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address