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•••••• D•••• D•••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedSan Diego, Cadual registrantIAPD 1747180

Chartered Financial Consultant

Feed of 09/14/2026

At current firm

0 y

since Dec 19, 2025

In the industry

28 y

since Dec 31, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Dec 19, 2025 · San Diego, Ca
E•••••• E••••• L•• BD affiliated
Dec 1, 2025 to Dec 8, 2025 · Irvine, Ca
D•••••• L••• S••••• L•• former
Oct 15, 2019 to Dec 5, 2025 · Rome, Ga
C••••• S••••• A•••••••• I••• former
Nov 14, 2017 to Oct 11, 2019 · San Diego, Ca
G••••••• W••••• M••••••••• BD affiliated
Apr 27, 2015 to Nov 6, 2017 · Arden Hills, Mn
G••••••• A•••••••• L•• independent RIA
Apr 2, 2012 to Apr 6, 2015 · San Diego, Ca
I••••••• F•••••••• S••••••• unclassified
Nov 24, 2009 to Apr 12, 2012 · San Diego, Ca
L•• F•••••••• L•• BD affiliated
Dec 31, 1997 to Nov 17, 2009 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

E•••••• E••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 8, 2025, registered Dec 19, 2025 (11 days) · Affiliated broker-dealer or bank to another
D•••••• L••• S••••• L•• to E•••••• E••••• L••
left Dec 5, 2025, registered Dec 1, 2025 (-4 days) · RIA to affiliated broker-dealer or bank
C••••• S••••• A•••••••• I••• to D•••••• L••• S••••• L••
left Oct 11, 2019, registered Oct 15, 2019 (4 days) · RIA to RIA
G••••••• W••••• M••••••••• to C••••• S••••• A•••••••• I•••
left Nov 6, 2017, registered Nov 14, 2017 (8 days) · Other
G••••••• A•••••••• L•• to G••••••• W••••• M•••••••••
left Apr 6, 2015, registered Apr 27, 2015 (21 days) · Other · moved with a team
I••••••• F•••••••• S••••••• to G••••••• A•••••••• L••
left Apr 12, 2012, registered Apr 2, 2012 (-10 days) · Other
L•• F•••••••• L•• to I••••••• F•••••••• S•••••••
left Nov 17, 2009, registered Nov 24, 2009 (7 days) · Other

Signals

M•••••• D•••• D••• left E•••••• E••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-12-19)
Dec 8, 2025 · Advisor changed firm · fact
M•••••• D•••• D••• left D•••••• L••• S••••• L•• for E•••••• E••••• L•• (registered 2025-12-01)
Dec 5, 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address