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

D•••• M••••••

C•••••• A•••• M••••••••• L••independent RIABozeman, Mt IA-onlyIAPD 2788869

Feed of 09/15/2026

Also filed as D•••• M••••••

At current firm

2 y

since Apr 19, 2024

In the industry

30 y

since Sep 12, 1996 (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

C•••••• A•••• M••••••••• L•• independent RIA current
since Apr 19, 2024 · Bozeman, Mt
J••• M••••• S••••••••• L•• wirehouse
Mar 26, 2024 to Apr 20, 2024 · San Francisco, Ca
J••• M••••• P•••••• W••••• A••••••• L•• former
Oct 9, 2015 to Apr 22, 2024 · San Francisco, Ca
C••••• S••••• S••••••••• •••• L•• former
Sep 15, 2008 to Nov 5, 2015 · San Francisco, Ca
L••••• B••••••• I••• unclassified
Jan 2, 2004 to Sep 18, 2008 · San Francisco, Ca
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Aug 19, 2003 to Jan 8, 2004 · San Francisco, Ca
B••• O• A•••••• S••••••••• L•• unclassified
May 18, 2001 to Aug 20, 2003 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••
left Apr 22, 2024, registered Mar 26, 2024 (-27 days) · corporate re-registration, not a move
J••• M••••• S••••••••• L•• to C•••••• A•••• M••••••••• L••
left Apr 20, 2024, registered Apr 19, 2024 (-1 days) · Wirehouse to independent RIA · moved with a team
C••••• S••••• S••••••••• •••• L•• to J••• M••••• P•••••• W••••• A••••••• L••
left Nov 5, 2015, registered Oct 9, 2015 (-27 days) · Other · moved with a team
L••••• B••••••• I••• to C••••• S••••• S••••••••• •••• L••
left Sep 18, 2008, registered Sep 15, 2008 (-3 days) · corporate re-registration, not a move
B••• O• A•••••• I••••••••• S•••••••• I••• to L••••• B••••••• I•••
left Jan 8, 2004, registered Jan 2, 2004 (-6 days) · Other
B••• O• A•••••• S••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Aug 20, 2003, registered Aug 19, 2003 (-1 days) · corporate re-registration, not a move

Signals

D•••• M•••••• left J••• M••••• S••••••••• L•• for C•••••• A•••• M••••••••• L•• (registered 2024-04-19)
Apr 20, 2024 · Advisor changed firm · 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: Independent wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address