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 09/15/2026
At current firm
1 y
since Apr 29, 2025
In the industry
28 y
since Jul 1, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- Aegis Capital Corp. BD affiliated currentsince Apr 29, 2025 · New York, Ny
- Western International Securities formerJul 3, 2019 to Jan 13, 2025 · Pasadena, Ca
- Hilltop Securities Inc. BD affiliatedDec 10, 2008 to Jun 14, 2019 · San Diego, Ca
- M.L. Stern & Co., LLC. unclassifiedMay 17, 2004 to Dec 23, 2008 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- Western International Securities to Aegis Capital Corp.left Jan 13, 2025, registered Apr 29, 2025 (106 days) · Affiliated broker-dealer or bank to another
- Hilltop Securities Inc. to Western International Securitiesleft Jun 14, 2019, registered Jul 3, 2019 (19 days) · Affiliated broker-dealer or bank to independent RIA
- M.L. Stern & Co., LLC. to Hilltop Securities Inc.left Dec 23, 2008, registered Dec 10, 2008 (-13 days) · corporate re-registration, not a move
Signals
- Mark Katz left Western International Securities for Aegis Capital Corp. (registered 2025-04-29)Jan 13, 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