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

N••• C••••••• I•••••

M••••••••• C•••••• L••state registeredMartinez, CaIA-onlyIAPD 5399192

Feed of 09/14/2026

Also filed as N••• C••••••• I•••••

At current firm

0 y

since Jul 15, 2026

In the industry

18 y

since Oct 19, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M••••••••• C•••••• L•• state registered current
since Jul 15, 2026 · Martinez, Ca
S••• V•••• P•••••••• L••• other
Jan 4, 2023 to Jan 28, 2025 · Bozeman, Mt
L•• F•••••••• L•• BD affiliated
Sep 4, 2012 to Sep 30, 2014 · Petaluma, Ca
W•••• F•••• A••••••• wirehouse
Sep 3, 2008 to Sep 4, 2012 · San Francisco, Ca
M••••• S•••••• • C•• L•• unclassified
Oct 25, 2007 to Jul 18, 2008 · San Rafael, Ca

Moves

a registration end followed by a registration begin elsewhere

S••• V•••• P•••••••• L••• to M••••••••• C•••••• L••
left Jan 28, 2025, registered Jul 15, 2026 (533 days) · Other
L•• F•••••••• L•• to S••• V•••• P•••••••• L•••
left Sep 30, 2014, registered Jan 4, 2023 (3018 days) · Other
W•••• F•••• A••••••• to L•• F•••••••• L••
left Sep 4, 2012, registered Sep 4, 2012 (0 days) · Other
M••••• S•••••• • C•• L•• to W•••• F•••• A•••••••
left Jul 18, 2008, registered Sep 3, 2008 (47 days) · Other

Signals

N••• C••••••• I••••• left S••• V•••• P•••••••• L••• for M••••••••• C•••••• L•• (registered 2026-07-15)
Jan 28, 2025 · 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: STATE REGISTEREDderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address