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•••••••• P•••••

S•••••••• A••••••• L••national BDPark Hills, Kydual registrantIAPD 7046213

Feed of 09/14/2026

Also filed as A••••• S•••••••• P•••••

At current firm

1 y

since Mar 31, 2025

In the industry

11 y

since Feb 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

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Park Hills, Ky
F••••••• P••••••• A•• W•••••••• A••••••• former
Jan 24, 2024 to Mar 31, 2025 · Murrieta, Ca
M••••• S•••••• wirehouse
Oct 24, 2022 to Dec 1, 2023 · Carlsbad, Ca
D••••• independent RIA
Jul 15, 2022 to Oct 26, 2022 · San Diego, 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
M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Dec 1, 2023, registered Jan 24, 2024 (54 days) · Wirehouse to affiliated broker-dealer or bank
D••••• to M••••• S••••••
left Oct 26, 2022, registered Oct 24, 2022 (-2 days) · RIA to wirehouse

Signals

A••••• S•••••••• P••••• left M••••• S•••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-01-24)
Dec 1, 2023 · Advisor changed firm · fact
A••••• S•••••••• P••••• left Dunham for M••••• S•••••• (registered 2022-10-24)
Oct 26, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address