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 09/14/2026
At current firm
11 y
since Aug 3, 2015
In the industry
32 y
since May 31, 1994 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- Morgan Stanley wirehouse currentsince Aug 3, 2015 · Aventura, Fl
- Barclays Capital Inc. formerJan 13, 2014 to Jul 16, 2015 · New York, Ny
- UBS Financial Services Inc. wirehouseSep 12, 2006 to Feb 7, 2013 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- Barclays Capital Inc. to Morgan Stanleyleft Jul 16, 2015, registered Aug 3, 2015 (18 days) · Other · moved with a team
- UBS Financial Services Inc. to Barclays Capital Inc.left Feb 7, 2013, registered Jan 13, 2014 (340 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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address