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•••••• M••••••• M•••••••

M••••• S••••••wirehouseSan Jose, Cadual registrantIAPD 5109948

Certified Financial Planner

Feed of 09/14/2026

Also filed as M•••••• M••••••• Moody

At current firm

3 y

since Feb 12, 2023

In the industry

20 y

since Jun 23, 2006 (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••••• S•••••• wirehouse current
since Feb 12, 2023 · San Jose, Ca
O•••• W•••••• I••• BD affiliated
Jun 30, 2022 to Jan 6, 2023 · Redwood City, Ca
O••••• I••••••••• A••••••• L•• independent RIA
Nov 12, 2021 to Jan 10, 2022 · Palo Alto, Ca
C•••••• S••••• • C••• I••• national BD
Mar 1, 2017 to Apr 14, 2021 · Campbell, Ca

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to M••••• S••••••
left Jan 6, 2023, registered Feb 12, 2023 (37 days) · Affiliated broker-dealer or bank to wirehouse
O••••• I••••••••• A••••••• L•• to O•••• W•••••• I•••
left Jan 10, 2022, registered Jun 30, 2022 (171 days) · Other
C•••••• S••••• • C••• I••• to O••••• I••••••••• A••••••• L••
left Apr 14, 2021, registered Nov 12, 2021 (212 days) · Affiliated broker-dealer or bank to a newly registered adviser

Signals

M•••••• M••••••• M••••••• left O•••• W•••••• I••• for M••••• S•••••• (registered 2023-02-12)
Jan 6, 2023 · Advisor changed firm · fact
M•••••• M••••••• M••••••• left O••••• I••••••••• A••••••• L•• for O•••• W•••••• I••• (registered 2022-06-30)
Jan 10, 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: Wirehousederived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address