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

S•••••• M•••• Z•••••••

F•••• P••••••• W•••••• L••independent RIAScottsdale, AzIA-onlyIAPD 4886020

Feed of 09/14/2026

Also filed as S•••••• M•••• Anderson

At current firm

2 y

since May 29, 2024

In the industry

21 y

since Dec 13, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

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••••••• W•••••• L•• i••••••••• wealth current
since May 29, 2024 · Scottsdale, Az
I••••••••• C•••••• former
Aug 1, 2022 to Jul 30, 2024 · Nashville, Tn
H•••• • H•••• W••••• M••••••••• former
Jan 18, 2018 to Jun 29, 2022 · Scottsdale, Az
I••••••••• F•••••••• G••••• L•• BD affiliated
Mar 22, 2017 to May 21, 2019 · Scottsdale, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 10, 2015 to Mar 14, 2017 · Scottsdale, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 2, 2009 to Sep 3, 2009 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

I••••••••• C•••••• to F•••• P••••••• W•••••• L••
left Jul 30, 2024, registered May 29, 2024 (-62 days) · RIA to RIA · moved with a team
H•••• • H•••• W••••• M••••••••• to I••••••••• C••••••
left Jun 29, 2022, registered Aug 1, 2022 (33 days) · RIA to RIA · moved with a team
I••••••••• F•••••••• G••••• L•• to H•••• • H•••• W••••• M•••••••••
left May 21, 2019, registered Jan 18, 2018 (-488 days) · Other · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• F•••••••• G••••• L••
left Mar 14, 2017, registered Mar 22, 2017 (8 days) · Other

Signals

S•••••• M•••• Z••••••• left I••••••••• C•••••• for F•••• P••••••• W•••••• L•• (registered 2024-05-29)
Jul 30, 2024 · Advisor changed firm · fact
S•••••• M•••• Z••••••• left H•••• • H•••• W••••• M••••••••• for I••••••••• C•••••• (registered 2022-08-01)
Jun 29, 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address