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.
Feed of 09/14/2026
Also filed as Kerry Moy
At current firm
1 y
since Jun 5, 2025
In the industry
41 y
since Apr 30, 1985 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jun 5, 2025 · San Diego, Ca
- Western International Securities formerJun 3, 2019 to Jun 5, 2025 · Pasadena, Ca
- Morgan Stanley wirehouseAug 17, 2012 to Jun 10, 2019 · Los Angeles, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMar 23, 1993 to Aug 21, 2012 · Beverly Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- Western International Securities to LPL Financial LLCleft Jun 5, 2025, registered Jun 5, 2025 (0 days) · corporate re-registration, not a move
- Morgan Stanley to Western International Securitiesleft Jun 10, 2019, registered Jun 3, 2019 (-7 days) · Wirehouse to independent RIA · moved with a team
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanleyleft Aug 21, 2012, registered Aug 17, 2012 (-4 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address