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••••• N••••• S•••••

L•• F•••••••• L••BD affiliatedTempe, Azdual registrantIAPD 4077246

Certified Financial Planner

Feed of 09/14/2026

Also filed as M••••• S•••••

At current firm

1 y

since Oct 1, 2024

In the industry

26 y

since Dec 18, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Oct 1, 2024 · Tempe, Az
O•••• W•••••• I••• BD affiliated
Jan 19, 2024 to Oct 2, 2024 · Tempe, Az
W••••••• F•••••••• S•••••••• I••• former
Mar 1, 2019 to Jan 19, 2024 · Tempe, Az
Q•••••• A•••• M••••••••• I••• former
Aug 26, 2010 to Mar 1, 2019 · Minneapolis, Mn
S•••••••• F••••••••• I••• former
Jan 9, 2007 to Jan 26, 2007 · Scottsdale, Az
R• A•••••• G•••• former
Mar 16, 2006 to Aug 24, 2010 · Scottsdale, Ca

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Oct 2, 2024, registered Oct 1, 2024 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
R• A•••••• G•••• to S•••••••• F••••••••• I•••
left Aug 24, 2010, registered Jan 9, 2007 (-1323 days) · Other
S•••••••• F••••••••• I••• to Q•••••• A•••• M••••••••• I•••
left Jan 26, 2007, registered Aug 26, 2010 (1308 days) · Other

Signals

M••••• N••••• S••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2024-10-01)
Oct 2, 2024 · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address