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•••••• M•••• M••••••••

C••••••• P•••••••independent RIAMission Viejo, Ca IA-onlyIAPD 5709268

Feed of 09/14/2026

Also filed as Mindy M••••••••

At current firm

4 y

since Dec 17, 2021

In the industry

16 y

since Dec 28, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••• P••••••• independent RIA current
since Dec 17, 2021 · Mission Viejo, Ca
L•••••• I••••••••• A•••••••• L•• no RAUM
Jan 2, 2018 to Apr 11, 2022 · Los Angeles, Ca
L•••••• I••••••••• A•••••••• L•• no RAUM
Apr 9, 2014 to Dec 5, 2016 · Los Angeles, Ca
E•••••••• A•••••••• L•• national BD
Nov 15, 2012 to Apr 1, 2014 · Pasadena, Ca
W••••••••• R••••••••• A••••••• institutional
Jul 14, 2010 to Oct 15, 2012 · Aliso Viejo, Ca

Moves

a registration end followed by a registration begin elsewhere

L•••••• I••••••••• A•••••••• L•• to C••••••• P•••••••
left Apr 11, 2022, registered Dec 17, 2021 (-115 days) · Other · moved with a team
E•••••••• A•••••••• L•• to L•••••• I••••••••• A•••••••• L••
left Apr 1, 2014, registered Apr 9, 2014 (8 days) · Other
W••••••••• R••••••••• A••••••• to E•••••••• A•••••••• L••
left Oct 15, 2012, registered Nov 15, 2012 (31 days) · Other

Signals

M•••••• M•••• M•••••••• left L•••••• I••••••••• A•••••••• L•• for C••••••• P••••••• (registered 2021-12-17)
Apr 11, 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: Independent wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address