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

D•••••• M••••• S••

A••••••••• I•••BD affiliatedConcord, Ca dual registrantIAPD 4269179

Feed of 09/15/2026

Also filed as Desiree Marvel Baze

At current firm

2 y

since Jun 13, 2024

In the industry

29 y

since Jan 1, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• I••• BD affiliated current
since Jun 13, 2024 · Powell Butte, Or
S•••••••• F••••••••• I••• former
Mar 4, 2015 to Sep 29, 2023 · Scottsdale, Az
C•••••• S••••• • C••• I••• national BD
Nov 14, 2014 to Feb 26, 2015 · Lebanon, Or
O•••• W•••••• I••• BD affiliated
Jan 9, 2009 to Sep 8, 2014 · New York, Ny
S•••••••• F••••••••• I••• former
Oct 31, 2005 to Dec 31, 2008 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

S•••••••• F••••••••• I••• to A••••••••• I•••
left Sep 29, 2023, registered Jun 13, 2024 (258 days) · Affiliated broker-dealer or bank to another
C•••••• S••••• • C••• I••• to S•••••••• F••••••••• I•••
left Feb 26, 2015, registered Mar 4, 2015 (6 days) · Other
O•••• W•••••• I••• to C•••••• S••••• • C••• I•••
left Sep 8, 2014, registered Nov 14, 2014 (67 days) · Other
S•••••••• F••••••••• I••• to O•••• W•••••• I•••
left Dec 31, 2008, registered Jan 9, 2009 (9 days) · Other

Signals

D•••••• M••••• S•• left S•••••••• F••••••••• I••• for A••••••••• I••• (registered 2024-06-13)
Sep 29, 2023 · 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address