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
Also filed as Marc Joseph Cabraja
At current firm
5 y
since May 11, 2021
In the industry
32 y
since Jun 15, 1994 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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 May 11, 2021 · Seattle, Wa
- Wells Fargo Advisors wirehouseJul 7, 2017 to Apr 29, 2021 · Portland, Or
- Stifel, Nicolaus & Company, Incorporated national BDJun 6, 2016 to Jun 27, 2017 · Memphis, Tn
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJul 30, 2015 to Jun 7, 2016 · Birmingham, Al
- Duncan-Williams, Inc. formerApr 3, 2014 to Jul 7, 2015 · Memphis (Shelby), Tn
- Sterne Agee Asset Management, Inc. formerOct 5, 2009 to Oct 31, 2013 · Birmingham, Al
- Morgan Stanley wirehouseJun 1, 2009 to Oct 29, 2009 · Birmingham, Al
- Citigroup Global Markets Inc. BD affiliatedMar 31, 2003 to Jun 1, 2009 · Birmingham, Al
Moves
a registration end followed by a registration begin elsewhere
- Wells Fargo Advisors to Morgan Stanleyleft Apr 29, 2021, registered May 11, 2021 (12 days) · Wirehouse to wirehouse
- Stifel, Nicolaus & Company, Incorporated to Wells Fargo Advisorsleft Jun 27, 2017, registered Jul 7, 2017 (10 days) · Affiliated broker-dealer or bank to wirehouse
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Stifel, Nicolaus & Company, Incorporatedleft Jun 7, 2016, registered Jun 6, 2016 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- Duncan-Williams, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Jul 7, 2015, registered Jul 30, 2015 (23 days) · Other
- Sterne Agee Asset Management, Inc. to Duncan-Williams, Inc.left Oct 31, 2013, registered Apr 3, 2014 (154 days) · Other
- Morgan Stanley to Sterne Agee Asset Management, Inc.left Oct 29, 2009, registered Oct 5, 2009 (-24 days) · Other
- Citigroup Global Markets Inc. to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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