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

A•••••• M•••• M••••••

S••••• W••••• A•••••••• I•••no RAUMOmaha, Ne dual registrantIAPD 5533116

Certified Financial Planner

Feed of 09/15/2026

Also filed as A•••••• M•••• M••••••

At current firm

2 y

since May 31, 2024

In the industry

18 y

since May 1, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••••• W••••• A•••••••• I••• no RAUM current
since May 31, 2024 · San Francisco, Ca
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Oct 25, 2023 to Feb 12, 2024 · Omaha, Ne
W••••••• F•••••••• S•••••••• I••• former
Jun 7, 2021 to Jan 26, 2022 · Dakota Dunes, Sd
T• A••••••••• I••••••••• M••••••••• L•• former
Jun 24, 2013 to Apr 20, 2021 · Omaha, Ne
T• A••••••••• I••• former
Jun 24, 2013 to Apr 20, 2021 · Omaha, Ne
T• A••••••••• I••••••••• M••••••••• L•• former
Mar 13, 2009 to Dec 12, 2011 · Omaha, Ne
T• A••••••••• I••• former
Mar 13, 2009 to Dec 12, 2011 · Omaha, Ne

Moves

a registration end followed by a registration begin elsewhere

N••••••••• M••••• I••••••••• S••••••••• to S••••• W••••• A•••••••• I•••
left Feb 12, 2024, registered May 31, 2024 (109 days) · Other
W••••••• F•••••••• S•••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••
left Jan 26, 2022, registered Oct 25, 2023 (637 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Apr 20, 2021, registered Jun 24, 2013 (-2857 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Apr 20, 2021, registered Jun 24, 2013 (-2857 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 12, 2011, registered Mar 13, 2009 (-1004 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Dec 12, 2011, registered Jun 24, 2013 (560 days) · channel change inside one enterprise, not a move

Signals

A•••••• M•••• M•••••• left N••••••••• M••••• I••••••••• S••••••••• for S••••• W••••• A•••••••• I••• (registered 2024-05-31)
Feb 12, 2024 · Advisor changed firm · fact
A•••••• M•••• M•••••• left W••••••• F•••••••• S•••••••• I••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2023-10-25)
Jan 26, 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: No RAUM reportedderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address