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••••• L••• D••••

O•••• W•••••• I•••BD affiliatedScottsdale, Azdual registrantIAPD 6086691

Feed of 09/14/2026

Also filed as S••••• L••• D••••

At current firm

0 y

since Jan 5, 2026

In the industry

11 y

since Jan 4, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Jan 5, 2026 · Scottsdale, Az
O•••• P•••••••• S••••••••• L•• BD affiliated
Sep 19, 2023 to Feb 23, 2024 · Omaha, Ne
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jan 28, 2022 to Aug 22, 2023 · Vancouver, Wa
R•••••• J•••• • A••••••••• I••• national BD
Jan 28, 2022 to Aug 22, 2023 · Vancouver, Wa
M•••••• A•••••• N•••••• BD affiliated
Oct 8, 2021 to Mar 2, 2022 · Vancouver, Wa
W•• O• S•• D•••• independent RIA
Feb 22, 2021 to Apr 26, 2021 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

O•••• P•••••••• S••••••••• L•• to O•••• W•••••• I•••
left Feb 23, 2024, registered Jan 5, 2026 (682 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to O•••• P•••••••• S••••••••• L••
left Aug 22, 2023, registered Sep 19, 2023 (28 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Aug 22, 2023, registered Jan 28, 2022 (-571 days) · Affiliated broker-dealer or bank to another
M•••••• A•••••• N•••••• to R•••••• J•••• • A••••••••• I•••
left Mar 2, 2022, registered Jan 28, 2022 (-33 days) · RIA to affiliated broker-dealer or bank
W•• O• S•• D•••• to M•••••• A•••••• N••••••
left Apr 26, 2021, registered Oct 8, 2021 (165 days) · RIA to RIA

Signals

S••••• L••• D•••• left O•••• P•••••••• S••••••••• L•• for O•••• W•••••• I••• (registered 2026-01-05)
Feb 23, 2024 · a•••••• firm change · fact
S••••• L••• D•••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for O•••• P•••••••• S••••••••• L•• (registered 2023-09-19)
Aug 22, 2023 · a•••••• firm change · fact
S••••• L••• D•••• left R•••••• J•••• • A••••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-01-28)
Aug 22, 2023 · a•••••• firm change · fact
S••••• L••• D•••• left M•••••• A•••••• N•••••• for R•••••• J•••• • A••••••••• I••• (registered 2022-01-28)
Mar 2, 2022 · a•••••• firm change · 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address