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••• C• C•••

H••• S••••••••• •••• I•••BD affiliatedArcadia, Ca dual registrantIAPD 5317395

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as Mark Chen

At current firm

4 y

since Mar 30, 2022

In the industry

17 y

since Oct 10, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H••• S••••••••• •••• I••• BD affiliated current
since Mar 30, 2022 · Arcadia, Ca
T•• A•••••••• I••• BD affiliated
Apr 26, 2019 to Mar 11, 2022 · Pleasanton, Ca
U••• B•••••• A•••••••• L•• BD affiliated
Jun 22, 2017 to Mar 7, 2019 · Arcadia, Ca
H••• S••••••••• •••• I••• BD affiliated
May 6, 2015 to Jun 27, 2017 · Temple City, Ca
E••••• J•••• national BD
Nov 14, 2014 to Mar 10, 2015 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

T•• A•••••••• I••• to H••• S••••••••• •••• I•••
left Mar 11, 2022, registered Mar 30, 2022 (19 days) · Affiliated broker-dealer or bank to another
U••• B•••••• A•••••••• L•• to T•• A•••••••• I•••
left Mar 7, 2019, registered Apr 26, 2019 (50 days) · Affiliated broker-dealer or bank to another
H••• S••••••••• •••• I••• to U••• B•••••• A•••••••• L••
left Jun 27, 2017, registered Jun 22, 2017 (-5 days) · Other
E••••• J•••• to H••• S••••••••• •••• I•••
left Mar 10, 2015, registered May 6, 2015 (57 days) · Other

Signals

M••• C• C••• left T•• A•••••••• I••• for H••• S••••••••• •••• I••• (registered 2022-03-30)
Mar 11, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address