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•••• C••••••• P•••••

O••••••••• • C•• I•••BD affiliatedSan Francisco, Cadual registrantIAPD 1853703

Feed of 09/14/2026

Also filed as M•••• C••••••• P•••••

At current firm

2 y

since Oct 10, 2023

In the industry

37 y

since Nov 14, 1988 (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

O••••••••• • C•• I••• BD affiliated current
since Oct 10, 2023 · San Francisco, Ca
I••••••• W••••• L•• former
Nov 6, 2020 to Mar 29, 2022 · Clayton, Ca
R•••••• J•••• • A••••••••• I••• national BD
Mar 6, 2019 to Dec 2, 2020 · San Francisco, Ca
S•••••• N••••••• • C••••••• I••••••••• national BD
Mar 5, 2018 to Mar 12, 2019 · San Francisco, Ca
M••••• S•••••• wirehouse
Aug 24, 2017 to Feb 20, 2018 · Santa Rosa, Ca

Moves

a registration end followed by a registration begin elsewhere

I••••••• W••••• L•• to O••••••••• • C•• I•••
left Mar 29, 2022, registered Oct 10, 2023 (560 days) · RIA to affiliated broker-dealer or bank
R•••••• J•••• • A••••••••• I••• to I••••••• W••••• L••
left Dec 2, 2020, registered Nov 6, 2020 (-26 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
S•••••• N••••••• • C••••••• I••••••••• to R•••••• J•••• • A••••••••• I•••
left Mar 12, 2019, registered Mar 6, 2019 (-6 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••
left Feb 20, 2018, registered Mar 5, 2018 (13 days) · Wirehouse to affiliated broker-dealer or bank

Signals

M•••• C••••••• P••••• left I••••••• W••••• L•• for O••••••••• • C•• I••• (registered 2023-10-10)
Mar 29, 2022 · 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: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address