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••• A••••• W•••••

C• W••••• M••••••••• L••independent RIASan Marino, Ca dual registrantIAPD 2135299

Feed of 09/14/2026

Also filed as M••• A W•••••

At current firm

8 y

since Sep 26, 2017

In the industry

28 y

since Feb 17, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C• W••••• M••••••••• L•• i••••••••• wealth current
since Sep 26, 2017 · San Marino, Ca
T••••••• F•••••••• former
Jun 29, 2016 to Aug 16, 2017 · El Segundo, Ca
I••••••••• F•••••••• G••••• L•• BD affiliated
Jun 13, 2016 to Jul 12, 2016 · El Segundo, Ca
C••••••• A•••• M••••••••• L•• BD affiliated
Nov 12, 2015 to Dec 28, 2015 · San Marino, Ca
C• W••••• M••••••••• L•• i••••••••• wealth
Nov 3, 2015 to Jun 13, 2016 · San Marino, Ca
C••••••• A•••• M••••••••• L•• BD affiliated
Oct 1, 2013 to Nov 11, 2015 · San Marino, Ca
J• P• T••••• • C•••••• C•••••• M••••••••• L•• former
Apr 1, 2010 to Aug 30, 2012 · Westchester, Ca
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• i••••••••• wealth
Sep 7, 2006 to Mar 26, 2010 · Santa Ana, Ca

Moves

a registration end followed by a registration begin elsewhere

T••••••• F•••••••• to C• W••••• M••••••••• L••
left Aug 16, 2017, registered Sep 26, 2017 (41 days) · Other
I••••••••• F•••••••• G••••• L•• to T••••••• F••••••••
left Jul 12, 2016, registered Jun 29, 2016 (-13 days) · Other
C• W••••• M••••••••• L•• to C••••••• A•••• M••••••••• L••
left Jun 13, 2016, registered Nov 12, 2015 (-214 days) · Other
C••••••• A•••• M••••••••• L•• to I••••••••• F•••••••• G••••• L••
left Dec 28, 2015, registered Jun 13, 2016 (168 days) · Other
C••••••• A•••• M••••••••• L•• to C• W••••• M••••••••• L••
left Nov 11, 2015, registered Nov 3, 2015 (-8 days) · Other
J• P• T••••• • C•••••• C•••••• M••••••••• L•• to C••••••• A•••• M••••••••• L••
left Aug 30, 2012, registered Oct 1, 2013 (397 days) · Other
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to J• P• T••••• • C•••••• C•••••• M••••••••• L••
left Mar 26, 2010, registered Apr 1, 2010 (6 days) · Other

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: Independent wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address