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

D•••••• M•••••• P•••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseNew York, Ny dual registrantIAPD 4799784

Feed of 09/15/2026

At current firm

1 y

since Dec 10, 2024

In the industry

22 y

since May 1, 2004 (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

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Dec 10, 2024 · Newport Beach, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Oct 29, 2021 to Nov 25, 2024 · Tampa, Fl
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Sep 22, 2021 · Roseville, Ca
W•••• F•••• I••••••••• L•• unclassified
Aug 23, 2004 to Jan 3, 2011 · Roseville, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 25, 2024, registered Dec 10, 2024 (15 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••
left Sep 22, 2021, registered Oct 29, 2021 (37 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

D•••••• M•••••• P••••• left C•••••••• G••••• M•••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-12-10)
Nov 25, 2024 · 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: Wirehousederived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address