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•••••• M•••••••

E•••••• A••••••• G••••• L••BD affiliatedGreenwood Village, Co dual registrantIAPD 4146449

Feed of 09/15/2026

Also filed as M•••••• M•••••••

At current firm

1 y

since Nov 21, 2024

In the industry

26 y

since May 8, 2000 (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

E•••••• A••••••• G••••• L•• BD affiliated current
since Nov 21, 2024 · Greenwood Village, Co
M•• I•••••••• S•••••••• L•• BD affiliated
Mar 3, 2020 to Oct 8, 2024 · Iselin, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 10, 2017 to Aug 9, 2018 · Pennington, Nj
V•••• F•••••••• A•••••••• I••• BD affiliated
Oct 3, 2016 to Sep 14, 2017 · Berkeley Heights, Nj
T• A••••••••• I••••••••• M••••••••• L•• former
May 2, 2014 to Apr 11, 2016 · New York, Ny
T• A••••••••• I••• former
May 2, 2014 to Apr 11, 2016 · New York, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 31, 2009 to Apr 29, 2014 · Pennington, Nj
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 8, 2008 to Nov 20, 2008 · Paramus, Nj
T• A••••••••• I••• former
Feb 8, 2008 to Nov 20, 2008 · Paramus, Nj

Moves

a registration end followed by a registration begin elsewhere

M•• I•••••••• S•••••••• L•• to E•••••• A••••••• G••••• L••
left Oct 8, 2024, registered Nov 21, 2024 (44 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• I•••••••• S•••••••• L••
left Aug 9, 2018, registered Mar 3, 2020 (572 days) · Wirehouse to affiliated broker-dealer or bank
V•••• F•••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 14, 2017, registered Oct 10, 2017 (26 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Apr 11, 2016, registered May 2, 2014 (-710 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Apr 11, 2016, registered May 2, 2014 (-710 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Apr 29, 2014, registered May 2, 2014 (3 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Nov 20, 2008, registered Feb 8, 2008 (-286 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Nov 20, 2008, registered Feb 8, 2008 (-286 days) · Other

Signals

M•••••• M••••••• left M•• I•••••••• S•••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2024-11-21)
Oct 8, 2024 · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address