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•••••• T••••• N•••••

K•••••••• W••••• A•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 4637541

Certified Financial Planner

Feed of 09/14/2026

Also filed as M•••••• T N•••••

At current firm

3 y

since Jan 10, 2023

In the industry

23 y

since May 7, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K•••••••• W••••• A•••••••• L•• BD affiliated current
since Jan 10, 2023 · Roseville, Ca
R•••••••• A••••••• independent RIA
Feb 16, 2022 to Mar 2, 2023 · Roseville, Ca
H••••• R•••• former
Apr 7, 2021 to Mar 31, 2022 · Charlotte, Nc
L•••• A••••• • C•• L•• asset manager
May 21, 2018 to Apr 9, 2021 · Granite Bay, Ca
E•••••••• I••••••••• M••••••••• C• unclassified
Jan 5, 2010 to Jan 4, 2010 · Boston, Ma
A•••••••• F•••• M••••••••• L•• asset manager
Jan 4, 2010 to May 11, 2018 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

R•••••••• A••••••• to K•••••••• W••••• A•••••••• L••
left Mar 2, 2023, registered Jan 10, 2023 (-51 days) · RIA to RIA · moved with a team
H••••• R•••• to R•••••••• A•••••••
left Mar 31, 2022, registered Feb 16, 2022 (-43 days) · RIA to RIA · moved with a team
L•••• A••••• • C•• L•• to H••••• R••••
left Apr 9, 2021, registered Apr 7, 2021 (-2 days) · Other
A•••••••• F•••• M••••••••• L•• to E•••••••• I••••••••• M••••••••• C•
left May 11, 2018, registered Jan 5, 2010 (-3048 days) · Other
E•••••••• I••••••••• M••••••••• C• to L•••• A••••• • C•• L••
left Jan 4, 2010, registered May 21, 2018 (3059 days) · Other

Signals

M•••••• T••••• N••••• left R•••••••• A••••••• for K•••••••• W••••• A•••••••• L•• (registered 2023-01-10)
Mar 2, 2023 · Advisor changed firm · fact
M•••••• T••••• N••••• left H••••• R•••• for R•••••••• A••••••• (registered 2022-02-16)
Mar 31, 2022 · 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address