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.
Registered advisor
Hiroshi Mizutani
Feed of 09/15/2026
At current firm
1 y
since May 23, 2025
In the industry
23 y
since Nov 9, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
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
- International Assets Investment Management, LLC BD affiliated currentsince May 23, 2025 · Azusa, Ca
- Global Assets Advisory, LLC independent RIA currentsince May 23, 2025 · Orlando, Fl
- Western International Securities formerJul 17, 2015 to May 27, 2025 · Pasadena, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOct 1, 2007 to Jul 20, 2015 · Pasadena, Ca
- Citigroup Global Markets Inc. BD affiliatedMay 29, 2007 to Sep 10, 2007 · New York, Ny
- Citicorp Investment Services unclassifiedJan 1, 2007 to May 29, 2007 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- Western International Securities to International Assets Investment Management, LLCleft May 27, 2025, registered May 23, 2025 (-4 days) · Affiliated broker-dealer or bank to another
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Western International Securitiesleft Jul 20, 2015, registered Jul 17, 2015 (-3 days) · Other
- Citigroup Global Markets Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Sep 10, 2007, registered Oct 1, 2007 (21 days) · Other
- Citicorp Investment Services to Citigroup Global Markets Inc.left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
Signals
- Hiroshi Mizutani left Western International Securities for International Assets Investment Management, Llc (registered 2025-05-23)May 27, 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address