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•••••• P••• J••••••••

O•••• W•••••• I•••BD affiliatedWinnabow, Nc dual registrantIAPD 2257558

Feed of 09/14/2026

Also filed as M•••••• P••• J••••••••

At current firm

1 y

since Apr 11, 2025

In the industry

17 y

since Feb 25, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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•••• W•••••• I••• BD affiliated current
since Apr 11, 2025 · Scottsdale, Az
K••••• A••••••• S•••••••• L•• BD affiliated
Aug 28, 2020 to Feb 27, 2025 · Irvine, Ca
C••••• I••••••••• A••••••• L•• BD affiliated
Nov 13, 2014 to May 5, 2020 · El Segundo, Ca
C••••• A••••••• L•• former
Nov 13, 2014 to May 5, 2020 · El Segundo, Ca
C••••• A•••••• N••••••• L•• former
Nov 7, 2014 to May 5, 2020 · El Segundo, Ca
S•••• W••••• M••••••••• L•• BD affiliated
Oct 15, 2012 to Jan 3, 2014 · Irvine, Ca
G••••• S••••••••• I••• former
Jul 7, 2010 to Oct 15, 2012 · Irvine, Ca
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Jan 29, 2010 to Jul 2, 2010 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to O•••• W•••••• I•••
left Feb 27, 2025, registered Apr 11, 2025 (43 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to C••••• A••••••• L••
left May 5, 2020, registered Nov 13, 2014 (-2000 days) · channel change inside one enterprise, not a move
C••••• I••••••••• A••••••• L•• to K••••• A••••••• S•••••••• L••
left May 5, 2020, registered Aug 28, 2020 (115 days) · Affiliated broker-dealer or bank to another
C••••• A••••••• L•• to C••••• I••••••••• A••••••• L••
left May 5, 2020, registered Nov 13, 2014 (-2000 days) · Other
S•••• W••••• M••••••••• L•• to C••••• A•••••• N••••••• L••
left Jan 3, 2014, registered Nov 7, 2014 (308 days) · Other
G••••• S••••••••• I••• to S•••• W••••• M••••••••• L••
left Oct 15, 2012, registered Oct 15, 2012 (0 days) · Other
N••••••••• M••••• I••••••••• S••••••••• to G••••• S••••••••• I•••
left Jul 2, 2010, registered Jul 7, 2010 (5 days) · Other

Signals

M•••••• P••• J•••••••• left K••••• A••••••• S•••••••• L•• for O•••• W•••••• I••• (registered 2025-04-11)
Feb 27, 2025 · a•••••• firm change · 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address