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

S•••• M•••••• E••••

M••••••••• W••••• M•••••••••no RAUMWashington, Dc dual registrantIAPD 3038249

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/15/2026

At current firm

0 y

since Apr 1, 2026

In the industry

28 y

since Apr 21, 1998 (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

M••••••••• W••••• M••••••••• no RAUM current
since Apr 1, 2026 · Murrieta, Ca
M••••••••• R••••••••• BD affiliated
May 28, 2019 to Apr 1, 2026 · Murrieta, Ca
N••••••••• I••••••••• A•••••••• L•• BD affiliated
Apr 25, 2012 to May 9, 2019 · Columbus, Oh
N••••••••• I••••••••• A•••••••• L•• BD affiliated
Dec 5, 2006 to Dec 31, 2010 · Columbus, Oh
N••••••••• I••••••••• S••••••• C••••••••• unclassified
Mar 16, 2006 to Dec 5, 2006 · Northridge, Ca

Moves

a registration end followed by a registration begin elsewhere

M••••••••• R••••••••• to M••••••••• W••••• M•••••••••
left Apr 1, 2026, registered Apr 1, 2026 (0 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
N••••••••• I••••••••• A•••••••• L•• to M••••••••• R•••••••••
left May 9, 2019, registered May 28, 2019 (19 days) · Other
N••••••••• I••••••••• S••••••• C••••••••• to N••••••••• I••••••••• A•••••••• L••
left Dec 5, 2006, registered Dec 5, 2006 (0 days) · corporate re-registration, not a move

Signals

S•••• M•••••• E•••• left M••••••••• R••••••••• for M••••••••• W••••• M••••••••• (registered 2026-04-01)
Apr 1, 2026 · 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: No RAUM reportedderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address