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 09/14/2026
Also filed as Marisa B Fein
At current firm
12 y
since Sep 24, 2013
In the industry
23 y
since Oct 8, 2002 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Morgan Stanley wirehouse currentsince Sep 24, 2013 · Napa, Ca
- First Allied Securities, Inc. formerOct 19, 2011 to Jun 4, 2012 · San Diego, Ca
- Nuveen Fund Advisors, LLC asset managerOct 21, 2002 to Oct 29, 2009 · Irvine, Ca
- Rittenhouse Asset Management, Inc. unclassifiedOct 21, 2002 to Jan 26, 2009 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- First Allied Securities, Inc. to Morgan Stanleyleft Jun 4, 2012, registered Sep 24, 2013 (477 days) · Other
- Nuveen Fund Advisors, LLC to First Allied Securities, Inc.left Oct 29, 2009, registered Oct 19, 2011 (720 days) · Other
- Rittenhouse Asset Management, Inc. to Nuveen Fund Advisors, LLCleft Jan 26, 2009, registered Oct 21, 2002 (-2289 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address