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

E••••• M••••• J•

S••• W••••• L••BD affiliatedSan Francisco, Ca dual registrantIAPD 5771796

Feed of 09/15/2026

Also filed as E••••• M•••••

At current firm

2 y

since Apr 24, 2024

In the industry

16 y

since Jul 9, 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

S••• W••••• L•• BD affiliated current
since Apr 24, 2024 · Jacksonville, Fl
P•• W••••• M••••••••• BD affiliated
Nov 16, 2023 to Jan 3, 2024 · Jacksonville, Fl
D•••• C•••••• M••••••••• independent RIA
Jan 10, 2022 to Aug 29, 2023 · Jacksonville, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 4, 2018 to Dec 21, 2021 · Jacksonville, Fl
B•• W••••• A•••••••• L•• former
Apr 6, 2017 to May 4, 2018 · Jacksonville, Fl
L•• W••••• M••••••••• L•• former
Dec 8, 2016 to May 19, 2017 · Jacksonville, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 15, 2010 to May 31, 2016 · Jacksonville, Fl

Moves

a registration end followed by a registration begin elsewhere

P•• W••••• M••••••••• to S••• W••••• L••
left Jan 3, 2024, registered Apr 24, 2024 (112 days) · Affiliated broker-dealer or bank to another
D•••• C•••••• M••••••••• to P•• W••••• M•••••••••
left Aug 29, 2023, registered Nov 16, 2023 (79 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D•••• C•••••• M•••••••••
left Dec 21, 2021, registered Jan 10, 2022 (20 days) · Wirehouse to independent RIA
B•• W••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left May 4, 2018, registered May 4, 2018 (0 days) · Other
L•• W••••• M••••••••• L•• to B•• W••••• A•••••••• L••
left May 19, 2017, registered Apr 6, 2017 (-43 days) · Other · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• W••••• M••••••••• L••
left May 31, 2016, registered Dec 8, 2016 (191 days) · Other

Signals

E••••• M••••• J• left P•• W••••• M••••••••• for S••• W••••• L•• (registered 2024-04-24)
Jan 3, 2024 · Advisor changed firm · fact
E••••• M••••• J• left D•••• C•••••• M••••••••• for P•• W••••• M••••••••• (registered 2023-11-16)
Aug 29, 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