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••• S•••••• R••••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedSan Jose, Cadual registrantIAPD 4859465

Feed of 09/14/2026

At current firm

2 y

since Apr 1, 2024

In the industry

21 y

since Mar 18, 2005 (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

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Apr 1, 2024 · San Jose, Ca
R•••••• J•••• • A••••••••• I••• national BD
Mar 4, 2021 to Apr 3, 2024 · San Jose, Ca
U••• B•••••• A•••••••• L•• BD affiliated
Sep 9, 2016 to Mar 11, 2021 · San Jose, Ca
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Sep 15, 2016 · San Jose, Ca
C•••• I••••••••• S••••••• C•••• former
Apr 19, 2012 to Oct 1, 2012 · San Jose, Ca
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Mar 14, 2012 · San Francisco, Ca
W•••• F•••• I••••••••• L•• unclassified
Oct 16, 2008 to Jan 3, 2011 · San Francisco, Ca
W••• I••••••••• I••• unclassified
Dec 14, 2005 to Oct 17, 2008 · Menlo Park, Ca
U•• F•••••••• S••••••• I••• wirehouse
Mar 21, 2005 to Dec 5, 2005 · San Jose, Ca

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Apr 3, 2024, registered Apr 1, 2024 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
U••• B•••••• A•••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Mar 11, 2021, registered Mar 4, 2021 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
J••• M••••• S••••••••• L•• to U••• B•••••• A•••••••• L••
left Sep 15, 2016, registered Sep 9, 2016 (-6 days) · Other
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••
left Mar 14, 2012, registered Apr 19, 2012 (36 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
W••• I••••••••• I••• to W•••• F•••• I••••••••• L••
left Oct 17, 2008, registered Oct 16, 2008 (-1 days) · Other
U•• F•••••••• S••••••• I••• to W••• I••••••••• I•••
left Dec 5, 2005, registered Dec 14, 2005 (9 days) · Other

Signals

M••• S•••••• R•••••• left R•••••• J•••• • A••••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-04-01)
Apr 3, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address