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

N••••• M•••• M•••••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedGlen Allen, Va dual registrantIAPD 6122162

Feed of 09/14/2026

Also filed as N••••• M•••• Oliver

At current firm

1 y

since Feb 26, 2025

In the industry

13 y

since Dec 14, 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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Feb 26, 2025 · Glen Allen, Va
S••••••• P•••••• A•••••••• L••• institutional
Apr 22, 2024 to Jan 24, 2025 · Wakefield, Ma
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Feb 9, 2016 to Apr 8, 2024 · Fairfield, Ia
Q••• C••• I••••••••• C••••• independent RIA
Mar 11, 2015 to Jan 29, 2016 · Davenport, Ia
L•• F•••••••• L•• BD affiliated
Jan 16, 2015 to Feb 4, 2016 · Davenport, Ia
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 17, 2012 to Jul 5, 2013 · Davenport, Ia

Moves

a registration end followed by a registration begin elsewhere

S••••••• P•••••• A•••••••• L••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jan 24, 2025, registered Feb 26, 2025 (33 days) · Other
C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••••• P•••••• A•••••••• L•••
left Apr 8, 2024, registered Apr 22, 2024 (14 days) · Other
L•• F•••••••• L•• to Q••• C••• I••••••••• C•••••
left Feb 4, 2016, registered Mar 11, 2015 (-330 days) · Other
Q••• C••• I••••••••• C••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jan 29, 2016, registered Feb 9, 2016 (11 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••
left Jul 5, 2013, registered Jan 16, 2015 (560 days) · Other

Signals

N••••• M•••• M••••••••• left S••••••• P•••••• A•••••••• L••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-02-26)
Jan 24, 2025 · Advisor changed firm · fact
N••••• M•••• M••••••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for S••••••• P•••••• A•••••••• L••• (registered 2024-04-22)
Apr 8, 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address