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

A••• R••••••

L•• E••••••••• L••BD affiliatedSan Diego, Cadual registrantIAPD 6443234

Feed of 09/14/2026

At current firm

1 y

since Nov 14, 2024

In the industry

11 y

since Jan 1, 2015 (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

L•• E••••••••• L•• BD affiliated current
since Nov 14, 2024 · San Diego, Ca
P•••• S••••••••• L•• no RAUM
May 17, 2023 to Nov 14, 2024 · San Diego, Ca
S••••••• F•••••••• S•••••••• I••• former
Feb 1, 2023 to Mar 24, 2023 · San Diego, Ca
T••••••• I••••••••• M••••••••• I••• BD affiliated
Jun 28, 2022 to Nov 10, 2022 · Minneapolis, Mn
C•••••••• M•••• M••••••• unclassified
Jun 29, 2018 to Dec 31, 2020 · Spring Valley, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 27, 2015 to Dec 19, 2016 · La Jolla, Ca

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
S••••••• F•••••••• S•••••••• I••• to P•••• S••••••••• L••
left Mar 24, 2023, registered May 17, 2023 (54 days) · RIA to affiliated broker-dealer or bank
T••••••• I••••••••• M••••••••• I••• to S••••••• F•••••••• S•••••••• I•••
left Nov 10, 2022, registered Feb 1, 2023 (83 days) · Affiliated broker-dealer or bank to independent RIA
C•••••••• M•••• M••••••• to T••••••• I••••••••• M••••••••• I•••
left Dec 31, 2020, registered Jun 28, 2022 (544 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• M•••• M•••••••
left Dec 19, 2016, registered Jun 29, 2018 (557 days) · Other

Signals

A••• R•••••• left S••••••• F•••••••• S•••••••• I••• for P•••• S••••••••• L•• (registered 2023-05-17)
Mar 24, 2023 · Advisor changed firm · fact
A••• R•••••• left T••••••• I••••••••• M••••••••• I••• for S••••••• F•••••••• S•••••••• I••• (registered 2023-02-01)
Nov 10, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address