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

S•••• N• M•••

M••••••BD affiliatedNewport Beach, CaIA-onlyIAPD 5979743

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Nov 16, 2023

In the industry

15 y

since Sep 1, 2011 (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

M•••••• BD affiliated current
since Nov 16, 2023 · Newport Beach, Ca
W•••• F•••• A••••••• wirehouse
Oct 2, 2023 to Nov 1, 2023 · Newport Beach, Ca
I•• C••••••• L•• independent RIA
Oct 14, 2022 to Jul 26, 2023 · Newport Beach, Ca
R•• R•••••••• L•• BD affiliated
Feb 18, 2014 to Sep 17, 2018 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to M••••••
left Nov 1, 2023, registered Nov 16, 2023 (15 days) · Wirehouse to affiliated broker-dealer or bank
I•• C••••••• L•• to W•••• F•••• A•••••••
left Jul 26, 2023, registered Oct 2, 2023 (68 days) · RIA to wirehouse · moved with a team
R•• R•••••••• L•• to I•• C••••••• L••
left Sep 17, 2018, registered Oct 14, 2022 (1488 days) · Affiliated broker-dealer or bank to independent RIA

Signals

S•••• N• M••• left W•••• F•••• A••••••• for Mariner (registered 2023-11-16)
Nov 1, 2023 · Advisor changed firm · fact
S•••• N• M••• left I•• C••••••• L•• for W•••• F•••• A••••••• (registered 2023-10-02)
Jul 26, 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address