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

R•• E• M••••••

C•••••• S••••• • C••• I•••national BDPhoenix, Azdual registrantIAPD 2245218

Feed of 09/14/2026

Also filed as Roy Eugene M••••••

At current firm

3 y

since May 25, 2023

In the industry

34 y

since Jun 15, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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•••••• S••••• • C••• I••• national BD current
since May 25, 2023 · Phoenix, Az
U••• I••••••••• S••••••• C•••••• no RAUM
Nov 21, 2019 to Jul 22, 2020 · Phoenix, Az
T• A••••••••• I••• former
Mar 19, 2018 to Aug 14, 2019 · Birmingham, Al
T• A••••••••• I••••••••• M••••••••• L•• former
Mar 19, 2018 to Aug 14, 2019 · Birmingham, Al
S•••••••• I••••••••• M••••••••• former
Jul 14, 2016 to Mar 13, 2018 · Saint Louis, Mo
E••••• J•••• national BD
Jun 1, 2012 to Jul 29, 2014 · Fountain Hills, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 28, 2010 to May 18, 2012 · Chandler, Az
A••••••••• I••• BD affiliated
Jul 6, 2010 to Sep 17, 2010 · Concord, Ca
C•••••• S••••• • C••• I••• national BD
Nov 1, 2006 to Mar 18, 2010 · Phoenix, Az
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Mar 1, 2004 to Oct 10, 2006 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••
left Jul 22, 2020, registered May 25, 2023 (1037 days) · Other · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Aug 14, 2019, registered Mar 19, 2018 (-513 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to U••• I••••••••• S••••••• C••••••
left Aug 14, 2019, registered Nov 21, 2019 (99 days) · Other
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Mar 13, 2018, registered Mar 19, 2018 (6 days) · Affiliated broker-dealer or bank to independent RIA
E••••• J•••• to S•••••••• I••••••••• M•••••••••
left Jul 29, 2014, registered Jul 14, 2016 (716 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••
left May 18, 2012, registered Jun 1, 2012 (14 days) · Wirehouse to affiliated broker-dealer or bank
A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 17, 2010, registered Sep 28, 2010 (11 days) · Other
C•••••• S••••• • C••• I••• to A••••••••• I•••
left Mar 18, 2010, registered Jul 6, 2010 (110 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••
left Oct 10, 2006, registered Nov 1, 2006 (22 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: National broker-dealer RIAderived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address