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• P•••••

J••• M••••• S••••••••• L••wirehouseNew York, Ny dual registrantIAPD 5202714

Feed of 09/15/2026

Also filed as M•••••• Steven P•••••

At current firm

0 y

since Sep 11, 2026

In the industry

19 y

since Oct 6, 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

J••• M••••• S••••••••• L•• wirehouse current
since Sep 11, 2026 · New York, Ny
M••••• S•••••• wirehouse
May 3, 2021 to Sep 11, 2026 · Greenwood Village, Co
C•••••• S••••• • C••• I••• national BD
Jan 11, 2021 to Mar 26, 2021 · Lone Tree, Co
S••••• W••••• A•••••••• I••• no RAUM
Apr 20, 2017 to Feb 1, 2021 · Lone Tree, Co
P••••••• C•••••• A••••••• C••••••••• former
Jan 9, 2015 to Aug 3, 2016 · Denver, Co
C•••••• S••••• • C••• I••• national BD
May 14, 2008 to Oct 22, 2014 · Englewood, Co
W•••• F•••• I••••••••• L•• unclassified
Oct 9, 2006 to May 19, 2008 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to J••• M••••• S••••••••• L••
left Sep 11, 2026, registered Sep 11, 2026 (0 days) · Wirehouse to wirehouse
C•••••• S••••• • C••• I••• to M••••• S••••••
left Mar 26, 2021, registered May 3, 2021 (38 days) · Affiliated broker-dealer or bank to wirehouse
S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••
left Feb 1, 2021, registered Jan 11, 2021 (-21 days) · channel change inside one enterprise, not a move
P••••••• C•••••• A••••••• C••••••••• to S••••• W••••• A•••••••• I•••
left Aug 3, 2016, registered Apr 20, 2017 (260 days) · Other
C•••••• S••••• • C••• I••• to P••••••• C•••••• A••••••• C•••••••••
left Oct 22, 2014, registered Jan 9, 2015 (79 days) · Other
W•••• F•••• I••••••••• L•• to C•••••• S••••• • C••• I•••
left May 19, 2008, registered May 14, 2008 (-5 days) · Other

Signals

M•••••• S• P••••• left M••••• S•••••• for J••• M••••• S••••••••• L•• (registered 2026-09-11)
Sep 11, 2026 · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address