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

S•••• D•••• E••••• L•••••

E•••••• F•••••••• E••••••independent RIAAnaheim, CaIA-onlyIAPD 6636437

Certified Financial Planner

Feed of 09/14/2026

Also filed as S•••• D•••• E••••• L•••••

At current firm

0 y

since Jul 2, 2026

In the industry

10 y

since Apr 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••• F•••••••• E•••••• independent RIA current
since Jul 2, 2026 · Anaheim, Ca
S•••••••• I••••••••• G••••• L•• independent RIA
Jun 27, 2024 to Jun 24, 2026 · Newport Beach, Ca
M••••• S•••••• wirehouse
Sep 5, 2023 to May 24, 2024 · Irvine, Ca
E•••••• C•••••• M••••••••• L•• former
May 17, 2021 to Sep 5, 2023 · Arlington, Va
T• A••••••••• I••• former
Mar 8, 2018 to May 5, 2021 · Reno, Nv
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to May 5, 2021 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Dec 8, 2016 to Feb 26, 2018 · Saint Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

S•••••••• I••••••••• G••••• L•• to E•••••• F•••••••• E••••••
left Jun 24, 2026, registered Jul 2, 2026 (8 days) · RIA to RIA
M••••• S•••••• to S•••••••• I••••••••• G••••• L••
left May 24, 2024, registered Jun 27, 2024 (34 days) · Wirehouse to independent RIA
E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left May 5, 2021, registered Mar 8, 2018 (-1154 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to E•••••• C•••••• M••••••••• L••
left May 5, 2021, registered May 17, 2021 (12 days) · Other
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move

Signals

S•••• D•••• E••••• L••••• left S•••••••• I••••••••• G••••• L•• for E•••••• F•••••••• E•••••• (registered 2026-07-02)
Jun 24, 2026 · Advisor changed firm · fact
S•••• D•••• E••••• L••••• left M••••• S•••••• for S•••••••• I••••••••• G••••• L•• (registered 2024-06-27)
May 24, 2024 · 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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address