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.

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Registered advisor

D•••• A• M••••

O••••••••• • C•• I•••BD affiliatedSeattle, Wadual registrantIAPD 5996536

Feed of 09/14/2026

Also filed as D•••• Anthony M••••

At current firm

2 y

since Feb 16, 2024

In the industry

14 y

since Feb 17, 2012 (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

O••••••••• • C•• I••• BD affiliated current
since Feb 16, 2024 · Seattle, Wa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 4, 2019 to Feb 20, 2024 · Seattle, Wa
W•••• F•••• A••••••• wirehouse
Sep 21, 2015 to Nov 6, 2019 · Seattle, Wa
E••••• J•••• national BD
Oct 18, 2013 to Sep 25, 2015 · St Louis, Mo
M••••• S•••••• wirehouse
Jan 9, 2013 to Sep 16, 2013 · Seattle, Wa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 21, 2012 to Aug 8, 2012 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• • C•• I•••
left Feb 20, 2024, registered Feb 16, 2024 (-4 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 6, 2019, registered Nov 4, 2019 (-2 days) · Wirehouse to wirehouse
E••••• J•••• to W•••• F•••• A•••••••
left Sep 25, 2015, registered Sep 21, 2015 (-4 days) · Affiliated broker-dealer or bank to wirehouse
M••••• S•••••• to E••••• J••••
left Sep 16, 2013, registered Oct 18, 2013 (32 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Aug 8, 2012, registered Jan 9, 2013 (154 days) · Wirehouse to wirehouse

Signals

D•••• A• M•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for O••••••••• • C•• I••• (registered 2024-02-16)
Feb 20, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address