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•••••• J•••• F•••••

I••••••••• A••••• I••••••••• M••••••••• L••BD affiliatedSanta Rosa, Ca dual registrantIAPD 3166145

Feed of 09/15/2026

Also filed as M•••••• J•••• F•••••

At current firm

0 y

since Feb 16, 2026

In the industry

27 y

since Feb 26, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated current
since Feb 16, 2026 · Orlando, Fl
G••••• A••••• A•••••••• L•• independent RIA current
since Feb 16, 2026 · Santa Rosa, Ca
L•• F•••••••• L•• BD affiliated
Feb 5, 2026 to Feb 17, 2026 · Santa Rosa, Ca
A•••••• R••••••• C•••••• independent RIA
May 22, 2025 to Feb 2, 2026 · Santa Rosa, Ca
A•••• W••••• M••••••••• A•• P••••••• L•• independent RIA
Jul 30, 2012 to Jul 17, 2025 · Novato, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
May 17, 1999 to Aug 10, 2012 · Santa Rosa, Ca

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••
left Feb 17, 2026, registered Feb 16, 2026 (-1 days) · Affiliated broker-dealer or bank to another
A•••••• R••••••• C•••••• to L•• F•••••••• L••
left Feb 2, 2026, registered Feb 5, 2026 (3 days) · RIA to affiliated broker-dealer or bank
A•••• W••••• M••••••••• A•• P••••••• L•• to A•••••• R••••••• C••••••
left Jul 17, 2025, registered May 22, 2025 (-56 days) · RIA to RIA
A••••••••• F•••••••• S•••••••• L•• to A•••• W••••• M••••••••• A•• P••••••• L••
left Aug 10, 2012, registered Jul 30, 2012 (-11 days) · Affiliated broker-dealer or bank to a newly registered adviser

Signals

M•••••• J•••• F••••• left L•• F•••••••• L•• for I••••••••• A••••• I••••••••• M••••••••• L•• (registered 2026-02-16)
Feb 17, 2026 · a•••••• firm change · fact
M•••••• J•••• F••••• left A•••••• R••••••• C•••••• for L•• F•••••••• L•• (registered 2026-02-05)
Feb 2, 2026 · a•••••• firm change · fact
M•••••• J•••• F••••• left A•••• W••••• M••••••••• A•• P••••••• L•• for A•••••• R••••••• C•••••• (registered 2025-05-22)
Jul 17, 2025 · a•••••• firm change · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address