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

D••••• P• M•••••••

S•••••••• A••••••• L••national BDPalo Alto, Ca dual registrantIAPD 3122260

Certified Financial Planner

Feed of 09/14/2026

Also filed as D••••• Paul M•••••••

At current firm

1 y

since Mar 31, 2025

In the industry

26 y

since Oct 28, 1999 (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

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Palo Alto, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Mar 31, 2025 · Boston, Ma
S•••••••• A••••••• L•• national BD
Feb 7, 2017 to Jul 13, 2018 · Palo Alto, Ca
P•••••• W••••• A••••••• G•••• former
Dec 7, 2015 to Jan 9, 2017 · San Rafael, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 21, 2010 to Nov 30, 2015 · Los Angeles, Ca
H••• S••••••••• •••• I••• BD affiliated
Oct 26, 2009 to Jun 21, 2010 · Chatham, Nj
C•••• I••••••••• S••••••• C•••• former
Jan 26, 2009 to Oct 6, 2009 · Chatham, Nj
L•••• A••••• • C•• L•• asset manager
Sep 6, 2005 to Nov 6, 2008 · Jersey City, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 15, 2002 to Aug 5, 2005 · Pennington, Nj

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
P•••••• W••••• A••••••• G•••• to S•••••••• A••••••• L••
left Jan 9, 2017, registered Feb 7, 2017 (29 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••••• W••••• A••••••• G••••
left Nov 30, 2015, registered Dec 7, 2015 (7 days) · Other
H••• S••••••••• •••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 21, 2010, registered Jul 21, 2010 (30 days) · Other
C•••• I••••••••• S••••••• C•••• to H••• S••••••••• •••• I•••
left Oct 6, 2009, registered Oct 26, 2009 (20 days) · Other
L•••• A••••• • C•• L•• to C•••• I••••••••• S••••••• C••••
left Nov 6, 2008, registered Jan 26, 2009 (81 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•••• A••••• • C•• L••
left Aug 5, 2005, registered Sep 6, 2005 (32 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: National broker-dealer RIAderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address