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•••• N•••••••

C••••• I••••••••• A••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 5088746

Feed of 09/15/2026

At current firm

2 y

since Dec 26, 2023

In the industry

19 y

since Mar 2, 2007 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Dec 26, 2023 · San Diego, Ca
M• H••••••• S••••••••• I••• BD affiliated
Apr 21, 2021 to Nov 1, 2023 · San Diego, Ca
C••••••••• F•••••••• N•••••• national BD
Jan 31, 2011 to Apr 26, 2021 · San Diego, Ca
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Jan 28, 2008 to Aug 16, 2010 · El Segundo, Ca
L•• F•••••••• L•• BD affiliated
Mar 5, 2007 to Jan 15, 2008 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

M• H••••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••
left Nov 1, 2023, registered Dec 26, 2023 (55 days) · Affiliated broker-dealer or bank to another
C••••••••• F•••••••• N•••••• to M• H••••••• S••••••••• I•••
left Apr 26, 2021, registered Apr 21, 2021 (-5 days) · Affiliated broker-dealer or bank to another
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to C••••••••• F•••••••• N••••••
left Aug 16, 2010, registered Jan 31, 2011 (168 days) · Other
L•• F•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Jan 15, 2008, registered Jan 28, 2008 (13 days) · Other

Signals

M•••••• S•••• N••••••• left M• H••••••• S••••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2023-12-26)
Nov 1, 2023 · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address