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••••• J• W•••••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseSeattle, Wa dual registrantIAPD 4952249

Feed of 09/14/2026

Also filed as Monica Steele

At current firm

5 y

since Jul 9, 2021

In the industry

21 y

since May 26, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

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 Jul 9, 2021 · Seattle, Wa
C•••••• S••••• • C••• I••• national BD
Jul 5, 2018 to Mar 17, 2021 · Seattle, Wa
R•••••• I••••••••• asset manager
Jul 30, 2015 to Sep 6, 2016 · Seattle, Wa
F•••••••• C•••••• M••••••••• L•• independent RIA
Feb 19, 2014 to Jun 3, 2015 · Seattle, Wa
R•• C•••••• M••••••• L•• national BD
Sep 26, 2008 to Feb 7, 2014 · Seattle, Wa
M••••• S•••••• • C•• L•• unclassified
Jun 11, 2007 to Oct 6, 2008 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 17, 2021, registered Jul 9, 2021 (114 days) · Affiliated broker-dealer or bank to wirehouse
R•••••• I••••••••• to C•••••• S••••• • C••• I•••
left Sep 6, 2016, registered Jul 5, 2018 (667 days) · Other · moved with a team
F•••••••• C•••••• M••••••••• L•• to R•••••• I•••••••••
left Jun 3, 2015, registered Jul 30, 2015 (57 days) · Other
R•• C•••••• M••••••• L•• to F•••••••• C•••••• M••••••••• L••
left Feb 7, 2014, registered Feb 19, 2014 (12 days) · Other
M••••• S•••••• • C•• L•• to R•• C•••••• M••••••• L••
left Oct 6, 2008, registered Sep 26, 2008 (-10 days) · Other

Signals

No dated event on this person.

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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address