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

M•••• M•••••• M•••••••

A••••••• F•••••••• A•••••••• L••BD affiliatedHenderson, Nvdual registrantIAPD 3091591

Certified Financial Planner

Feed of 09/14/2026

Also filed as M•••• M•••••• M•••••••

At current firm

13 y

since May 24, 2013

In the industry

26 y

since Sep 23, 1999 (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

A••••••• F•••••••• A•••••••• L•• BD affiliated current
since May 24, 2013 · Henderson, Nv
T••••• A••••••• S•••••••• L•• former
Apr 17, 2012 to Jan 2, 2013 · Las Vegas, Nv
O•••• F•• I••• former
Oct 25, 2010 to Jan 25, 2011 · Las Vegas, Nv
O•••• F•• I••• former
Aug 10, 2010 to Aug 20, 2010 · Las Vegas, Nv
M•• I•••••••• S•••••••• L•• BD affiliated
Mar 13, 2009 to Jul 26, 2010 · Las Vegas, Nv
N•• E•••••• S••••••••• C••••••••• former
Jul 2, 2008 to Jan 8, 2009 · Las Vegas, Nv
M•• I•••••••• S•••••••• L•• BD affiliated
May 8, 2006 to Jul 3, 2008 · Las Vegas, Nv
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Oct 17, 2003 to May 8, 2006 · Las Vegas, Nv
W•••• F•••• I••••••••• L•• unclassified
Aug 5, 2002 to Nov 14, 2003 · Las Vegas, Nv
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 19, 2000 to Aug 5, 2002 · Las Vegas, Nv

Moves

a registration end followed by a registration begin elsewhere

T••••• A••••••• S•••••••• L•• to A••••••• F•••••••• A•••••••• L••
left Jan 2, 2013, registered May 24, 2013 (142 days) · Other
O•••• F•• I••• to T••••• A••••••• S•••••••• L••
left Jan 25, 2011, registered Apr 17, 2012 (448 days) · Other
M•• I•••••••• S•••••••• L•• to O•••• F•• I•••
left Jul 26, 2010, registered Aug 10, 2010 (15 days) · Other
N•• E•••••• S••••••••• C••••••••• to M•• I•••••••• S•••••••• L••
left Jan 8, 2009, registered Mar 13, 2009 (64 days) · Other
M•• I•••••••• S•••••••• L•• to N•• E•••••• S••••••••• C•••••••••
left Jul 3, 2008, registered Jul 2, 2008 (-1 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
left May 8, 2006, registered May 8, 2006 (0 days) · Other
W•••• F•••• I••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Nov 14, 2003, registered Oct 17, 2003 (-28 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• I••••••••• L••
left Aug 5, 2002, registered Aug 5, 2002 (0 days) · Other

Signals

No dated event on this person.

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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address