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

M••• P••• S•••••

F••••••••• P•••••••••state registeredLas Vegas, NvIA-onlyIAPD 1709281

Feed of 09/14/2026

At current firm

0 y

since Jan 1, 2026

In the industry

36 y

since Jan 25, 1990 (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

F••••••••• P••••••••• state registered current
since Jan 1, 2026 · Las Vegas, Nv
C••• F•••••••• S•••••••• L••• former
May 6, 2015 to Apr 8, 2024 · Las Vegas, Nv
M•• F•••••••• S•••••••• I••• former
Apr 15, 2010 to Jan 22, 2014 · Tempe, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 30, 2004 to Jun 24, 2005 · Las Vegas, Nv
F••••• I••••••••• independent RIA
Nov 13, 2003 to Jun 24, 2004 · Las Vegas, Nv
N••••• F••• A•••••••• L•• asset manager
Jun 14, 2000 to Dec 3, 2002 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to F••••••••• P•••••••••
left Apr 8, 2024, registered Jan 1, 2026 (633 days) · Affiliated broker-dealer or bank to a state-registered adviser
M•• F•••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••
left Jan 22, 2014, registered May 6, 2015 (469 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• S•••••••• I•••
left Jun 24, 2005, registered Apr 15, 2010 (1756 days) · Other
F••••• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 24, 2004, registered Jun 30, 2004 (6 days) · Other
N••••• F••• A•••••••• L•• to F••••• I•••••••••
left Dec 3, 2002, registered Nov 13, 2003 (345 days) · Other

Signals

M••• P••• S••••• left C••• F•••••••• S•••••••• L••• for F••••••••• P••••••••• (registered 2026-01-01)
Apr 8, 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: STATE REGISTEREDderived
Years in industry: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address