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.

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Registered advisor

M••• E••••

O••••••••• A•••• M••••••••• L••independent RIAStamford, CtIA-onlyIAPD 4800999

Chartered Financial Analyst

Feed of 09/14/2026

Also filed as Mary Rose Erwin

At current firm

0 y

since Sep 29, 2025

In the industry

20 y

since Jan 6, 2006 (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

O••••••••• A•••• M••••••••• L•• independent RIA current
since Sep 29, 2025 · Stamford, Ct
R•••••• I••••••••• asset manager
Apr 18, 2023 to May 13, 2024 · Seattle, Wa
R•••••• J•••• • A••••••••• I••• national BD
Nov 5, 2019 to Nov 17, 2022 · St. Petersburg, Fl
C••••••• institutional
Apr 18, 2019 to Jun 17, 2019 · Tampa, Fl
B•••••••• I••••••••• M••••••••• L•• asset manager
Dec 12, 2018 to Mar 22, 2019 · Boston, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 15, 2013 to Jan 15, 2015 · Tampa, Fl
B•••••••• I••••••••• M••••••••• L•• asset manager
Apr 19, 2007 to Jul 31, 2009 · Princeton, Nj
M•••••• L•••• I••••••••• M••••••• L• unclassified
May 30, 2006 to Oct 2, 2006 · Saint Petersburg, Fl
T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
Jan 6, 2006 to May 4, 2006 · Tampa, Fl

Moves

a registration end followed by a registration begin elsewhere

R•••••• I••••••••• to O••••••••• A•••• M••••••••• L••
left May 13, 2024, registered Sep 29, 2025 (504 days) · Other
R•••••• J•••• • A••••••••• I••• to R•••••• I•••••••••
left Nov 17, 2022, registered Apr 18, 2023 (152 days) · Other
C••••••• to R•••••• J•••• • A••••••••• I•••
left Jun 17, 2019, registered Nov 5, 2019 (141 days) · Other
B•••••••• I••••••••• M••••••••• L•• to C•••••••
left Mar 22, 2019, registered Apr 18, 2019 (27 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B•••••••• I••••••••• M••••••••• L••
left Jan 15, 2015, registered Dec 12, 2018 (1427 days) · Other
B•••••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 31, 2009, registered Oct 15, 2013 (1537 days) · Other
M•••••• L•••• I••••••••• M••••••• L• to B•••••••• I••••••••• M••••••••• L••
left Oct 2, 2006, registered Apr 19, 2007 (199 days) · Other
T• R••• P•••• A••••••• S•••••••• I••• to M•••••• L•••• I••••••••• M••••••• L•
left May 4, 2006, registered May 30, 2006 (26 days) · Other

Signals

M••• E•••• left R•••••• I••••••••• for O••••••••• A•••• M••••••••• L•• (registered 2025-09-29)
May 13, 2024 · Advisor changed firm · fact
M••• E•••• left R•••••• J•••• • A••••••••• I••• for R•••••• I••••••••• (registered 2023-04-18)
Nov 17, 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: Independent wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address