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•••••• L•••• D•• C••••

V••••••• A•••••••• I•••BD affiliatedScottsdale, Azdual registrantIAPD 4793019

Certified Financial Planner

Feed of 09/14/2026

Also filed as M•••••• Delc••••

At current firm

1 y

since Oct 18, 2024

In the industry

19 y

since Mar 26, 2007 (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

V••••••• A•••••••• I••• BD affiliated current
since Oct 18, 2024 · Scottsdale, Az
F••••••• P••••••• A•• W•••••••• A••••••• former
Jun 9, 2023 to Jun 26, 2024 · Scottsdale, Az
V••••••• W••••• M••••••••• L•• independent RIA
Jul 2, 2019 to Apr 10, 2023 · Scottsdale, Az
S••••• W••••• A•••••••• I••• no RAUM
Jan 3, 2012 to Jul 12, 2019 · Phoenix, Az
C•••••• S••••• • C••• I••• national BD
May 12, 2008 to Dec 31, 2011 · Phoenix, Az
U••• I••••••••• S••••••• C•••••• no RAUM
Apr 3, 2007 to Apr 9, 2008 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to V••••••• A•••••••• I•••
left Jun 26, 2024, registered Oct 18, 2024 (114 days) · Affiliated broker-dealer or bank to another
V••••••• W••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 10, 2023, registered Jun 9, 2023 (60 days) · RIA to affiliated broker-dealer or bank
S••••• W••••• A•••••••• I••• to V••••••• W••••• M••••••••• L••
left Jul 12, 2019, registered Jul 2, 2019 (-10 days) · Affiliated broker-dealer or bank to independent RIA
C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••
left Dec 31, 2011, registered Jan 3, 2012 (3 days) · corporate re-registration, not a move
U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••
left Apr 9, 2008, registered May 12, 2008 (33 days) · Other

Signals

M•••••• L•••• D•• C•••• left F••••••• P••••••• A•• W•••••••• A••••••• for V••••••• A•••••••• I••• (registered 2024-10-18)
Jun 26, 2024 · Advisor changed firm · fact
M•••••• L•••• D•• C•••• left V••••••• W••••• M••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-06-09)
Apr 10, 2023 · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address