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••••

U•• F•••••••• S••••••• I•••wirehouseWeehawken, Nj dual registrantIAPD 4438645

Feed of 09/14/2026

Also filed as M•• S••••

At current firm

10 y

since Mar 7, 2016

In the industry

23 y

since Jan 27, 2003 (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

U•• F•••••••• S••••••• I••• wirehouse current
since Mar 7, 2016 · Weehawken, Nj
W•••• F•••• A••••••• wirehouse
Aug 28, 2008 to Mar 7, 2016 · Milwaukee, Wi
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Sep 3, 2008 · Wauwatosa, Wi
M••••• S•••••• D• I••• unclassified
Sep 19, 2006 to Apr 2, 2007 · Wauwatosa, Wi
S••••• C•••••• M••••••••• I•• unclassified
Jan 28, 2003 to Oct 10, 2003 · Menomonee Falls, Wi

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••
left Mar 7, 2016, registered Mar 7, 2016 (0 days) · Wirehouse to wirehouse · moved with a team
M••••• S•••••• • C•• L•• to W•••• F•••• A•••••••
left Sep 3, 2008, registered Aug 28, 2008 (-6 days) · Other
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
S••••• C•••••• M••••••••• I•• to M••••• S•••••• D• I•••
left Oct 10, 2003, registered Sep 19, 2006 (1075 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address