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
1 y
since Jun 2, 2025
In the industry
28 y
since Nov 17, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Mariner BD affiliated currentsince Jun 2, 2025 · Overland Park, Ks
- Private Advisor Group, LLC BD affiliatedMar 22, 2021 to May 19, 2025 · Morristown, Nj
- LPL Financial LLC BD affiliatedApr 29, 2019 to Sep 25, 2020 · Fort Mill, Sc
- Edelman Financial Engines independent RIANov 1, 2018 to Apr 23, 2019 · Overland Park, Ks
- Edelman Financial Services, LLC formerOct 4, 2017 to Nov 1, 2018 · Clayton, Mo
Moves
a registration end followed by a registration begin elsewhere
- Private Advisor Group, LLC to Marinerleft May 19, 2025, registered Jun 2, 2025 (14 days) · Affiliated broker-dealer or bank to another
- LPL Financial LLC to Private Advisor Group, LLCleft Sep 25, 2020, registered Mar 22, 2021 (178 days) · Affiliated broker-dealer or bank to another
- Edelman Financial Engines to LPL Financial LLCleft Apr 23, 2019, registered Apr 29, 2019 (6 days) · RIA to RIA
- Edelman Financial Services, LLC to Edelman Financial Enginesleft Nov 1, 2018, registered Nov 1, 2018 (0 days) · corporate re-registration, not a move
Signals
- Verne Tetsumi Marble left Private Advisor Group, Llc for Mariner (registered 2025-06-02)May 19, 2025 · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address