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

M••• R••• M•••••

V••••••••• A••••••• S•••••••BD affiliatedSouth Jordan, Ut dual registrantIAPD 1342855

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

At current firm

1 y

since Jan 2, 2025

In the industry

41 y

since Mar 18, 1985 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

V••••••••• A••••••• S••••••• BD affiliated current
since Jan 2, 2025 · South Jordan, Ut
G•••• P•••• A•••••••• L•• former
Apr 1, 2021 to Jan 2, 2025 · Rockville, Md
H• B•••• I••• former
Apr 20, 2009 to Apr 1, 2021 · Rockville, Md
I••••••••• M••••••••• C••••••••• unclassified
Jan 9, 2004 to Nov 23, 2007 · South Jordan, Ut
E•••••••• A•••••••• L•• national BD
May 8, 2003 to Oct 6, 2003 · Salt Lake City, Ut

Moves

a registration end followed by a registration begin elsewhere

G•••• P•••• A•••••••• L•• to V••••••••• A••••••• S•••••••
left Jan 2, 2025, registered Jan 2, 2025 (0 days) · Affiliated broker-dealer or bank to another
H• B•••• I••• to G•••• P•••• A•••••••• L••
left Apr 1, 2021, registered Apr 1, 2021 (0 days) · corporate re-registration, not a move
I••••••••• M••••••••• C••••••••• to H• B•••• I•••
left Nov 23, 2007, registered Apr 20, 2009 (514 days) · Other
E•••••••• A•••••••• L•• to I••••••••• M••••••••• C•••••••••
left Oct 6, 2003, registered Jan 9, 2004 (95 days) · Other

Signals

M••• R••• M••••• left G•••• P•••• A•••••••• L•• for V••••••••• A••••••• S••••••• (registered 2025-01-02)
Jan 2, 2025 · 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: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address