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

C••••••••• L•••

U••• B•••••• A•••••••• L••BD affiliatedAnaheim, Cadual registrantIAPD 6572771

Feed of 09/14/2026

At current firm

0 y

since Feb 13, 2026

In the industry

10 y

since Oct 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

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 · Anaheim, Ca
U••• B•••••• I••••••••• I••• former
Feb 15, 2024 to Feb 13, 2026 · Long Beach, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 28, 2023 to Feb 16, 2024 · Rolling Hills Estates, Ca
J••• M••••• S••••••••• L•• wirehouse
Jan 7, 2022 to Jul 27, 2023 · Torrance, Ca
W•••• F•••• A••••••• wirehouse
Jul 8, 2021 to Dec 23, 2021 · Redondo Beach, Ca
J••• M••••• S••••••••• L•• wirehouse
Sep 15, 2019 to May 19, 2021 · 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
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••
left Feb 16, 2024, registered Feb 15, 2024 (-1 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 27, 2023, registered Jul 28, 2023 (1 days) · Wirehouse to wirehouse
W•••• F•••• A••••••• to J••• M••••• S••••••••• L••
left Dec 23, 2021, registered Jan 7, 2022 (15 days) · Wirehouse to wirehouse · moved with a team
J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left May 19, 2021, registered Jul 8, 2021 (50 days) · Wirehouse to wirehouse

Signals

C••••••••• L••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for U••• B•••••• I••••••••• I••• (registered 2024-02-15)
Feb 16, 2024 · Advisor changed firm · fact
C••••••••• L••• left J••• M••••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-07-28)
Jul 27, 2023 · 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address