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•••• T••••••• D•••

M•• I•••••••• S•••••••• L••BD affiliatedMission Viejo, Ca dual registrantIAPD 6966639

Certified Financial Planner

Feed of 09/14/2026

Also filed as A•••• D•••

At current firm

1 y

since May 20, 2025

In the industry

14 y

since Sep 1, 2012 (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

M•• I•••••••• S•••••••• L•• BD affiliated current
since May 20, 2025 · Mission Viejo, Ca
E• W••••• A••••••• independent RIA
Jan 30, 2024 to May 23, 2025 · Torrance, Ca
O•••• F•• I••• former
Jun 13, 2022 to Sep 25, 2023 · Irvine, Ca
F•••••• independent RIA
Nov 22, 2021 to Jun 8, 2022 · San Francisco, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 28, 2018 to Aug 9, 2021 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

E• W••••• A••••••• to M•• I•••••••• S•••••••• L••
left May 23, 2025, registered May 20, 2025 (-3 days) · RIA to affiliated broker-dealer or bank
O•••• F•• I••• to E• W••••• A•••••••
left Sep 25, 2023, registered Jan 30, 2024 (127 days) · Affiliated broker-dealer or bank to independent RIA
F•••••• to O•••• F•• I•••
left Jun 8, 2022, registered Jun 13, 2022 (5 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••
left Aug 9, 2021, registered Nov 22, 2021 (105 days) · Wirehouse to independent RIA

Signals

A•••• T••••••• D••• left E• W••••• A••••••• for M•• I•••••••• S•••••••• L•• (registered 2025-05-20)
May 23, 2025 · Advisor changed firm · fact
A•••• T••••••• D••• left O•••• F•• I••• for E• W••••• A••••••• (registered 2024-01-30)
Sep 25, 2023 · Advisor changed firm · fact
A•••• T••••••• D••• left Farther for O•••• F•• I••• (registered 2022-06-13)
Jun 8, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address