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

J••••••• M••• R•••••••

P••••••• F•••••••• S•••••••• I•••BD affiliatedRidgway, Co dual registrantIAPD 4762750

Certified Financial Planner

Feed of 09/14/2026

Also filed as M••• R•••••••

At current firm

2 y

since Sep 21, 2023

In the industry

22 y

since Apr 9, 2004 (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

P••••••• F•••••••• S•••••••• I••• BD affiliated current
since Sep 21, 2023 · Dallas, Tx
H•••••• S••••••••• I••• BD affiliated
Sep 5, 2023 to Oct 12, 2023 · Dallas, Tx
C••••• A•••••• N••••••• L•• former
Nov 1, 2017 to Nov 13, 2017 · Houston, Tx
G••••• S••••••••• I••• former
Sep 14, 2012 to Nov 1, 2017 · Dallas, Tx
U••••• C•••••• F•••••••• A••••••• independent RIA
Mar 6, 2007 to Oct 13, 2023 · Dallas, Tx
W•••• F•••• A••••••• wirehouse
Oct 7, 2005 to Feb 26, 2007 · Dallas, Tx
B•• F•••••••• A••••••• BD affiliated
Feb 18, 2005 to Jul 25, 2005 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

U••••• C•••••• F•••••••• A••••••• to G••••• S••••••••• I•••
left Oct 13, 2023, registered Sep 14, 2012 (-4046 days) · Other · moved with a team
H•••••• S••••••••• I••• to P••••••• F•••••••• S•••••••• I•••
left Oct 12, 2023, registered Sep 21, 2023 (-21 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
C••••• A•••••• N••••••• L•• to H•••••• S••••••••• I•••
left Nov 13, 2017, registered Sep 5, 2023 (2122 days) · Other
G••••• S••••••••• I••• to C••••• A•••••• N••••••• L••
left Nov 1, 2017, registered Nov 1, 2017 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to U••••• C•••••• F•••••••• A•••••••
left Feb 26, 2007, registered Mar 6, 2007 (8 days) · Other
B•• F•••••••• A••••••• to W•••• F•••• A•••••••
left Jul 25, 2005, registered Oct 7, 2005 (74 days) · Other

Signals

J••••••• M••• R••••••• left U••••• C•••••• F•••••••• A••••••• for G••••• S••••••••• I••• (registered 2012-09-14)
Oct 13, 2023 · a•••••• firm change · fact
J••••••• M••• R••••••• left H•••••• S••••••••• I••• for P••••••• F•••••••• S•••••••• I••• (registered 2023-09-21)
Oct 12, 2023 · a•••••• firm change · 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address