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

I•• M•••••• R••••••

F••• P•••• P••••••• A•• I••••••••• L••state registeredGilbert, AzIA-onlyIAPD 4765261

Certified Financial Planner

Feed of 09/14/2026

Also filed as I•• M•••••• R••••••

At current firm

6 y

since Nov 6, 2019

In the industry

22 y

since Mar 18, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F••• P•••• P••••••• A•• I••••••••• L•• state registered current
since Nov 6, 2019 · Gilbert, Az
M•• C•••••• A••••••• L•• independent RIA
Apr 23, 2019 to Sep 20, 2019 · Gilbert, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 4, 2014 to Mar 27, 2019 · Scottsdale, Az
E••••• J•••• national BD
Mar 30, 2009 to Apr 7, 2014 · St Louis, Mo
M••••• S•••••• • C•• L•• unclassified
May 28, 2008 to Feb 20, 2009 · Mesa, Az

Moves

a registration end followed by a registration begin elsewhere

M•• C•••••• A••••••• L•• to F••• P•••• P••••••• A•• I••••••••• L••
left Sep 20, 2019, registered Nov 6, 2019 (47 days) · RIA to a state-registered adviser
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• C•••••• A••••••• L••
left Mar 27, 2019, registered Apr 23, 2019 (27 days) · Wirehouse to independent RIA
E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 7, 2014, registered Apr 4, 2014 (-3 days) · Affiliated broker-dealer or bank to wirehouse
M••••• S•••••• • C•• L•• to E••••• J••••
left Feb 20, 2009, registered Mar 30, 2009 (38 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: STATE REGISTEREDderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address