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

S••• P•••••• H•••••

E•••••••• W••••• M•••••••••independent RIASan Francisco, Ca IA-onlyIAPD 5548506

Certified Financial Planner

Feed of 09/14/2026

At current firm

0 y

since Jun 23, 2026

In the industry

17 y

since Jul 10, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••••• W••••• M••••••••• independent RIA current
since Jun 23, 2026 · Seattle, Wa
N•••••••• P•••••••• L•• independent RIA
Oct 27, 2023 to May 19, 2026 · San Fransico, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Jul 15, 2013 to Nov 1, 2023 · Cincinnati, Oh
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Jul 13, 2009 to Jul 9, 2013 · Greenville, Oh

Moves

a registration end followed by a registration begin elsewhere

N•••••••• P•••••••• L•• to E•••••••• W••••• M•••••••••
left May 19, 2026, registered Jun 23, 2026 (35 days) · RIA to RIA
A••••••••• F•••••••• S•••••••• L•• to N•••••••• P•••••••• L••
left Nov 1, 2023, registered Oct 27, 2023 (-5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
T••••••••• F•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Jul 9, 2013, registered Jul 15, 2013 (6 days) · Other

Signals

S••• P•••••• H••••• left N•••••••• P•••••••• L•• for E•••••••• W••••• M••••••••• (registered 2026-06-23)
May 19, 2026 · Advisor changed firm · fact
S••• P•••••• H••••• left A••••••••• F•••••••• S•••••••• L•• for N•••••••• P•••••••• L•• (registered 2023-10-27)
Nov 1, 2023 · 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: Independent wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address