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.

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Registered advisor

D••••• S••••••

S••••• I••••••••• M••••••••• L••independent RIATucson, Az IA-onlyIAPD 7221965

Feed of 09/14/2026

Also filed as D••••• Moore

At current firm

1 y

since Jul 15, 2025

In the industry

23 y

since Dec 1, 2002 (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••••• I••••••••• M••••••••• L•• independent RIA current
since Jul 15, 2025 · Rancho Palos Verdes, Ca
M•• I•••••••• S•••••••• L•• BD affiliated
Jun 12, 2024 to Jul 16, 2025 · Rancho Palos Verdes, Ca
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Apr 6, 2020 to Apr 29, 2024 · Rancho Palos Verdes, Ca

Moves

a registration end followed by a registration begin elsewhere

M•• I•••••••• S•••••••• L•• to S••••• I••••••••• M••••••••• L••
left Jul 16, 2025, registered Jul 15, 2025 (-1 days) · Affiliated broker-dealer or bank to independent RIA
C•••••••• I••••••••• R••••••• A•••••••• I••• to M•• I•••••••• S•••••••• L••
left Apr 29, 2024, registered Jun 12, 2024 (44 days) · Affiliated broker-dealer or bank to another

Signals

D••••• S•••••• left M•• I•••••••• S•••••••• L•• for S••••• I••••••••• M••••••••• L•• (registered 2025-07-15)
Jul 16, 2025 · Advisor changed firm · fact
D••••• S•••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2024-06-12)
Apr 29, 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address