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•••••• S•••••

W•••• F•••• A•••••••wirehouseMission Viejo, Cadual registrantIAPD 4356975

Feed of 09/14/2026

Also filed as M•••••• S•••••

At current firm

12 y

since Dec 10, 2013

In the industry

22 y

since Jun 14, 2004 (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

W•••• F•••• A••••••• wirehouse current
since Dec 10, 2013 · Mission Viejo, Ca
S•••••••• A••••••• L•• national BD
Jan 4, 2013 to Nov 26, 2013 · Irvine, Ca
A••••••••• L••• other
May 21, 2012 to Nov 28, 2012 · Miami, Fl
M••••• S•••••• wirehouse
Aug 23, 2011 to Feb 28, 2012 · Aventura, Fl
C••••• A•••• M••••••••• independent RIA
Feb 15, 2006 to Jul 22, 2011 · Newport Beach, Ca
T• A••••••••• I••• former
Sep 23, 2004 to Mar 3, 2005 · Los Angeles, Ca
T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
Jun 17, 2004 to Sep 11, 2004 · Tampa, Fl

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to W•••• F•••• A•••••••
left Nov 26, 2013, registered Dec 10, 2013 (14 days) · Affiliated broker-dealer or bank to wirehouse
A••••••••• L••• to S•••••••• A••••••• L••
left Nov 28, 2012, registered Jan 4, 2013 (37 days) · Other
M••••• S•••••• to A••••••••• L•••
left Feb 28, 2012, registered May 21, 2012 (83 days) · Other
C••••• A•••• M••••••••• to M••••• S••••••
left Jul 22, 2011, registered Aug 23, 2011 (32 days) · Other
T• A••••••••• I••• to C••••• A•••• M•••••••••
left Mar 3, 2005, registered Feb 15, 2006 (349 days) · Other
T• R••• P•••• A••••••• S•••••••• I••• to T• A••••••••• I•••
left Sep 11, 2004, registered Sep 23, 2004 (12 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address