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•••••• D•••• P•••••

C••••• I••••••••• A••••••• L••BD affiliatedHeber City, Ut dual registrantIAPD 5672009

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

At current firm

3 y

since Aug 10, 2023

In the industry

16 y

since Sep 2, 2010 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Aug 10, 2023 · Minneapolis, Mn
C•• S••••••••• L•• former
Aug 28, 2013 to Dec 31, 2016 · Philadelphia, Pa
S••••••• F•••••••• S•••••••• I••• former
Jun 21, 2011 to Aug 10, 2023 · Baltimore, Md
C•• S••••••••• L•• former
Jun 21, 2011 to Dec 31, 2011 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

S••••••• F•••••••• S•••••••• I••• to C•• S••••••••• L••
left Aug 10, 2023, registered Aug 28, 2013 (-3634 days) · Other
C•• S••••••••• L•• to C••••• I••••••••• A••••••• L••
left Dec 31, 2016, registered Aug 10, 2023 (2413 days) · Other
C•• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••
left Dec 31, 2011, registered Jun 21, 2011 (-193 days) · channel change inside one enterprise, not a move

Signals

M•••••• D•••• P••••• left S••••••• F•••••••• S•••••••• I••• for C•• S••••••••• L•• (registered 2013-08-28)
Aug 10, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address