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 09/15/2026
At current firm
9 y
since Jul 6, 2017
In the industry
26 y
since Mar 14, 2000 (earliest exam, job or registration)
Prior registered firms
10
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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 Jul 6, 2017 · Deerfield, Il
- E*Trade Capital Management, LLC formerJun 7, 2011 to Jul 11, 2017 · Scottsdale, Az
- Chase Investment Services Corp. formerApr 27, 2010 to Jun 3, 2010 · El Segundo, Ca
- Seidman Private Advisors LLC formerMay 6, 2009 to Sep 22, 2009 · San Francisco, Ca
- Td Ameritrade Investment Management, LLC formerMar 25, 2008 to Jan 28, 2009 · Beverly Hills, Ca
- Td Ameritrade, Inc. formerMar 25, 2008 to Jan 28, 2009 · Beverly Hills, Ca
- Strategic Advisers LLC national BDJan 8, 2008 to Feb 25, 2008 · Thousand Oaks Ca 91362, Ca
- UBS Financial Services Inc. wirehouseDec 4, 2006 to Oct 4, 2007 · Sherman Oaks, Ca
- Citicorp Investment Services unclassifiedJan 18, 2006 to Jan 12, 2007 · Seal Beach, Ca
- Oppenheimer & Co. Inc. BD affiliatedDec 6, 2004 to Jul 21, 2005 · Los Angeles, Ca
- Charles Schwab & Co., Inc. national BDJun 7, 2002 to Sep 21, 2004 · Fort Lauderdale, Fl
Moves
a registration end followed by a registration begin elsewhere
- E*Trade Capital Management, LLC to Morgan Stanleyleft Jul 11, 2017, registered Jul 6, 2017 (-5 days) · Other
- Chase Investment Services Corp. to E*Trade Capital Management, LLCleft Jun 3, 2010, registered Jun 7, 2011 (369 days) · Other
- Seidman Private Advisors LLC to Chase Investment Services Corp.left Sep 22, 2009, registered Apr 27, 2010 (217 days) · Other
- Td Ameritrade Investment Management, LLC to Seidman Private Advisors LLCleft Jan 28, 2009, registered May 6, 2009 (98 days) · Other
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Jan 28, 2009, registered Mar 25, 2008 (-309 days) · channel change inside one enterprise, not a move
- Strategic Advisers LLC to Td Ameritrade, Inc.left Feb 25, 2008, registered Mar 25, 2008 (29 days) · Affiliated broker-dealer or bank to a newly registered adviser
- UBS Financial Services Inc. to Strategic Advisers LLCleft Oct 4, 2007, registered Jan 8, 2008 (96 days) · Wirehouse to affiliated broker-dealer or bank
- Citicorp Investment Services to UBS Financial Services Inc.left Jan 12, 2007, registered Dec 4, 2006 (-39 days) · Other
- Oppenheimer & Co. Inc. to Citicorp Investment Servicesleft Jul 21, 2005, registered Jan 18, 2006 (181 days) · Other
- Charles Schwab & Co., Inc. to Oppenheimer & Co. Inc.left Sep 21, 2004, registered Dec 6, 2004 (76 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address