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•••••• M•••••

C••• L••BD affiliatedOmaha, Ne dual registrantIAPD 2827991

Feed of 09/14/2026

Also filed as D•••• M•••••• M•••••

At current firm

2 y

since May 16, 2024

In the industry

29 y

since Dec 18, 1996 (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••• L•• BD affiliated current
since May 16, 2024 · Omaha, Ne
L•• F•••••••• L•• BD affiliated
Sep 24, 2018 to Apr 2, 2024 · Fort Mill, Sc
O•••• F•• I••• former
May 30, 2018 to Jul 18, 2018 · Charlotte, Nc
M••••• S•••••• wirehouse
Mar 15, 2012 to Apr 2, 2018 · Atlanta, Ga
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 14, 2009 to Feb 8, 2011 · Cincinnati, Oh
S•••••••• A••••••• L•• national BD
Jan 14, 2003 to Jan 13, 2009 · Blue Ash, Oh

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to C••• L••
left Apr 2, 2024, registered May 16, 2024 (44 days) · Affiliated broker-dealer or bank to another
O•••• F•• I••• to L•• F•••••••• L••
left Jul 18, 2018, registered Sep 24, 2018 (68 days) · Affiliated broker-dealer or bank to independent RIA
M••••• S•••••• to O•••• F•• I•••
left Apr 2, 2018, registered May 30, 2018 (58 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Feb 8, 2011, registered Mar 15, 2012 (401 days) · Wirehouse to wirehouse
S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 13, 2009, registered Dec 14, 2009 (335 days) · Affiliated broker-dealer or bank to wirehouse

Signals

D•••• M•••••• M••••• left L•• F•••••••• L•• for C••• L•• (registered 2024-05-16)
Apr 2, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address