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.
Registered advisor
Patrick Maj
Certified Financial Planner
Feed of 09/14/2026
At current firm
9 y
since Aug 17, 2017
In the industry
17 y
since Mar 24, 2009 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Charles Schwab & Co., Inc. national BD currentsince Aug 17, 2017 · Henderson, Nv
- J.P. Morgan Securities LLC wirehouseNov 8, 2016 to Jul 26, 2017 · Las Vegas, Nv
- Arista Wealth Management, LLC independent RIAAug 11, 2016 to Oct 5, 2016 · Las Vegas, Nv
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOct 29, 2015 to Aug 3, 2016 · Las Vegas, Nv
- Td Ameritrade Investment Management, LLC formerAug 25, 2015 to Oct 6, 2015 · Las Vegas, Nv
- Td Ameritrade, Inc. formerAug 25, 2015 to Oct 6, 2015 · Las Vegas, Nv
- Charles Schwab & Co., Inc. national BDJun 6, 2011 to Aug 24, 2015 · Englewood, Co
Moves
a registration end followed by a registration begin elsewhere
- J.P. Morgan Securities LLC to Charles Schwab & Co., Inc.left Jul 26, 2017, registered Aug 17, 2017 (22 days) · Wirehouse to affiliated broker-dealer or bank
- Arista Wealth Management, LLC to J.P. Morgan Securities LLCleft Oct 5, 2016, registered Nov 8, 2016 (34 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Arista Wealth Management, LLCleft Aug 3, 2016, registered Aug 11, 2016 (8 days) · Other
- Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.left Oct 6, 2015, registered Aug 25, 2015 (-42 days) · channel change inside one enterprise, not a move
- Td Ameritrade, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Oct 6, 2015, registered Oct 29, 2015 (23 days) · Other
- Charles Schwab & Co., Inc. to Td Ameritrade Investment Management, LLCleft Aug 24, 2015, registered Aug 25, 2015 (1 days) · Other
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address