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

R•••••• S••••• M•••••

S•••••••••state registeredClovis, CaIA-onlyIAPD 4304383

Certified Financial Planner

Feed of 09/14/2026

Also filed as R•••••• M•••••

At current firm

0 y

since Oct 14, 2025

In the industry

25 y

since Jan 22, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••••••••• state registered current
since Oct 14, 2025 · Clovis, Ca
R•••••• I••••••••• A••••••• I•• former
Dec 6, 2019 to Nov 7, 2025 · Fresno, Ca
T••••••••• R••••••••• A•••••••• L•• BD affiliated
Nov 18, 2015 to Dec 4, 2019 · Fresno, Ca
C•••••• S••••• • C••• I••• national BD
May 5, 2003 to Dec 5, 2003 · Fresno, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 25, 2001 to Mar 31, 2003 · Fresno, Ca

Moves

a registration end followed by a registration begin elsewhere

R•••••• I••••••••• A••••••• I•• to S•••••••••
left Nov 7, 2025, registered Oct 14, 2025 (-24 days) · RIA to a state-registered adviser
T••••••••• R••••••••• A•••••••• L•• to R•••••• I••••••••• A••••••• I••
left Dec 4, 2019, registered Dec 6, 2019 (2 days) · Affiliated broker-dealer or bank to independent RIA
C•••••• S••••• • C••• I••• to T••••••••• R••••••••• A•••••••• L••
left Dec 5, 2003, registered Nov 18, 2015 (4366 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••
left Mar 31, 2003, registered May 5, 2003 (35 days) · Wirehouse to affiliated broker-dealer or bank

Signals

R•••••• S••••• M••••• left R•••••• I••••••••• A••••••• I•• for Simplifiedfp (registered 2025-10-14)
Nov 7, 2025 · 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: STATE REGISTEREDderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address