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•••• I•••••• U••••

U••• B•••••• A•••••••• L••BD affiliatedPortland, Ordual registrantIAPD 6014232

Certified Financial Planner

Feed of 09/14/2026

Also filed as M•••• I U••••

At current firm

0 y

since Feb 13, 2026

In the industry

14 y

since Jan 1, 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

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Portland, Or
U••• B•••••• I••••••••• I••• former
Sep 30, 2025 to Feb 13, 2026 · Portland, Or
L•• F•••••••• L•• BD affiliated
Jul 19, 2023 to Jul 7, 2025 · Ketchum, Id
B••••••• I••••••••• S•••••••• I••• ••••• former
Apr 26, 2012 to Jul 19, 2023 · Newport Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
L•• F•••••••• L•• to U••• B•••••• I••••••••• I•••
left Jul 7, 2025, registered Sep 30, 2025 (85 days) · Affiliated broker-dealer or bank to another
B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••
left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move

Signals

M•••• I•••••• U•••• left L•• F•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2025-09-30)
Jul 7, 2025 · 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