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••• S•• P•••••• O•••••

A••••••• A••••••• S•••••••• L••BD affiliatedLincoln, Ne dual registrantIAPD 5925568

Feed of 09/15/2026

Also filed as Mark S. Oliver

At current firm

1 y

since Nov 1, 2024

In the industry

15 y

since Jul 31, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••• A••••••• S•••••••• L•• BD affiliated current
since Nov 1, 2024 · Lincoln, Ne
A••••• A•• P••••••• S••••••• BD affiliated
Oct 4, 2022 to May 7, 2024 · Lincoln, Ne
T• A••••••••• I••••••••• M••••••••• L•• former
Mar 17, 2015 to Jan 8, 2016 · Omaha, Ne
T• A••••••••• I••• former
Jun 10, 2014 to Jan 8, 2016 · Omaha, Ne
F•••• T•••• S••••••••• I••• BD affiliated
Dec 23, 2013 to Apr 4, 2014 · Chicago, Il
W•••• F•••• A••••••• wirehouse
Apr 19, 2013 to Nov 11, 2013 · Gastonia, Nc

Moves

a registration end followed by a registration begin elsewhere

A••••• A•• P••••••• S••••••• to A••••••• A••••••• S•••••••• L••
left May 7, 2024, registered Nov 1, 2024 (178 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jan 8, 2016, registered Mar 17, 2015 (-297 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to A••••• A•• P••••••• S•••••••
left Jan 8, 2016, registered Oct 4, 2022 (2461 days) · Other
F•••• T•••• S••••••••• I••• to T• A••••••••• I•••
left Apr 4, 2014, registered Jun 10, 2014 (67 days) · Other
W•••• F•••• A••••••• to F•••• T•••• S••••••••• I•••
left Nov 11, 2013, registered Dec 23, 2013 (42 days) · Other

Signals

M••• S•• P•••••• O••••• left A••••• A•• P••••••• S••••••• for A••••••• A••••••• S•••••••• L•• (registered 2024-11-01)
May 7, 2024 · 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address