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

F•••• S•••• M•••••

W••••••••• R••••••••• A•••••••institutionalAliso Viejo, Ca IA-onlyIAPD 4078974

Certified Financial Planner

Feed of 09/14/2026

Also filed as F•••• S•••• M•••••

At current firm

2 y

since Oct 25, 2023

In the industry

26 y

since Jan 7, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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

W••••••••• R••••••••• A••••••• institutional current
since Oct 25, 2023 · Midlothian, Va
W••••••••• A••••••• former
Jan 6, 2020 to Mar 14, 2024 · Midlothian, Va
T• A••••••••• I••• former
Apr 13, 2018 to Nov 29, 2019 · Glen Allen, Va
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Nov 29, 2019 · Glen Allen, Va
S•••••••• I••••••••• M••••••••• former
Jun 5, 2017 to Feb 26, 2018 · Saint Louis, Mo
O•••• I••••••••• I••• BD affiliated
Apr 3, 2013 to Jun 3, 2014 · Midlothian, Va
T• A••••••••• I••• former
Jan 14, 2011 to Feb 12, 2013 · Glen Allen, Va
T• A••••••••• I••••••••• M••••••••• L•• former
Jan 11, 2011 to Feb 12, 2013 · Glen Allen, Va
E••••• J•••• national BD
Aug 25, 2009 to Jan 5, 2011 · Midlothian, Va
C••• B•••••••• S•••••••• I••• former
May 7, 2004 to Aug 24, 2009 · Richmond, Va

Moves

a registration end followed by a registration begin elsewhere

W••••••••• A••••••• to W••••••••• R••••••••• A•••••••
left Mar 14, 2024, registered Oct 25, 2023 (-141 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••• to W••••••••• A•••••••
left Nov 29, 2019, registered Jan 6, 2020 (38 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Nov 29, 2019, registered Apr 13, 2018 (-595 days) · channel change inside one enterprise, not a move
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
O•••• I••••••••• I••• to S•••••••• I••••••••• M•••••••••
left Jun 3, 2014, registered Jun 5, 2017 (1098 days) · Other
T• A••••••••• I••• to O•••• I••••••••• I•••
left Feb 12, 2013, registered Apr 3, 2013 (50 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Feb 12, 2013, registered Jan 14, 2011 (-760 days) · channel change inside one enterprise, not a move
E••••• J•••• to T• A••••••••• I••••••••• M••••••••• L••
left Jan 5, 2011, registered Jan 11, 2011 (6 days) · Other
C••• B•••••••• S•••••••• I••• to E••••• J••••
left Aug 24, 2009, registered Aug 25, 2009 (1 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: Institutional managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address