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.
Feed of 09/15/2026
Also filed as M Jace Beck
At current firm
0 y
since Jan 7, 2026
In the industry
32 y
since Sep 8, 1994 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Trek Financial independent RIA currentsince Jan 7, 2026 · Scottsdale, Az
- Equitable Advisors, LLC national BDSep 15, 2003 to Jan 10, 2020 · Irvine, Ca
- Morgan Stanley Dw Inc. unclassifiedJul 8, 1997 to Sep 17, 2003 · Laguna Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- Equitable Advisors, LLC to Trek Financialleft Jan 10, 2020, registered Jan 7, 2026 (2189 days) · Affiliated broker-dealer or bank to independent RIA
- Morgan Stanley Dw Inc. to Equitable Advisors, LLCleft Sep 17, 2003, registered Sep 15, 2003 (-2 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address