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••••• S•••• C•••••

S•••••••• A••••••• L••national BDWestlake Village, Ca dual registrantIAPD 6884393

Feed of 09/14/2026

Also filed as A••••• S•••• C•••••

At current firm

1 y

since Mar 31, 2025

In the industry

10 y

since Jun 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

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Westlake Village, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
May 23, 2024 to Mar 31, 2025 · Thousand Oaks, Ca
E••••• J•••• national BD
Nov 17, 2022 to May 10, 2024 · Westlake Village, Ca
W•••• F•••• A••••••• wirehouse
Jun 15, 2022 to Jul 27, 2022 · Agoura Hills, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 10, 2018 to May 31, 2022 · Agoura, Ca

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
E••••• J•••• to F••••••• P••••••• A•• W•••••••• A•••••••
left May 10, 2024, registered May 23, 2024 (13 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to E••••• J••••
left Jul 27, 2022, registered Nov 17, 2022 (113 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left May 31, 2022, registered Jun 15, 2022 (15 days) · Wirehouse to wirehouse

Signals

A••••• S•••• C••••• left E••••• J•••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-05-23)
May 10, 2024 · Advisor changed firm · fact
A••••• S•••• C••••• left W•••• F•••• A••••••• for E••••• J•••• (registered 2022-11-17)
Jul 27, 2022 · Advisor changed firm · fact
A••••• S•••• C••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••• F•••• A••••••• (registered 2022-06-15)
May 31, 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: National broker-dealer RIAderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address