DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R•••••• Y••••
Feed of 09/14/2026
At current firm
1 y
since Mar 28, 2025
In the industry
28 y
since Oct 23, 1997 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- M••••• S•••••• wirehouse currentsince Mar 28, 2025 · Rolling Hills Estates, Ca
- R•• C•••••• M••••••• L•• national BDApr 5, 2011 to Apr 11, 2025 · Century City, Ca
- O••••••••• • C•• I••• BD affiliatedJul 20, 2004 to Apr 15, 2011 · Los Angeles, Ca
- M••••• S•••••• D• I••• unclassifiedJan 30, 2002 to Jul 21, 2004 · Glendale, Ca
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to M••••• S••••••left Apr 11, 2025, registered Mar 28, 2025 (-14 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- O••••••••• • C•• I••• to R•• C•••••• M••••••• L••left Apr 15, 2011, registered Apr 5, 2011 (-10 days) · Other
- M••••• S•••••• D• I••• to O••••••••• • C•• I•••left Jul 21, 2004, registered Jul 20, 2004 (-1 days) · Other
Signals
- R•••••• Y•••• left R•• C•••••• M••••••• L•• for M••••• S•••••• (registered 2025-03-28)Apr 11, 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address