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•••••• T••••• U••

P•••••••• S••••••••• I•••BD affiliatedRoseville, Cadual registrantIAPD 6137515

Feed of 09/14/2026

Also filed as M•••••• T Uno

At current firm

2 y

since Apr 2, 2024

In the industry

13 y

since Feb 20, 2013 (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

P•••••••• S••••••••• I••• BD affiliated current
since Apr 2, 2024 · Roseville, Ca
P•••• S••••••••• L•• no RAUM
Jun 2, 2021 to Mar 19, 2024 · San Jose, Ca
M••••• O• O•••• I••••••• S•••••••• I••• independent RIA
Sep 20, 2016 to May 12, 2021 · Pleasant Hill, Ca
M•• F•••••••• S•••••••• I••• former
Feb 9, 2015 to Apr 1, 2016 · Sacramento, Ca
E••••• J•••• national BD
Apr 8, 2013 to Sep 19, 2014 · Woodland, Ca

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to P•••••••• S••••••••• I•••
left Mar 19, 2024, registered Apr 2, 2024 (14 days) · Affiliated broker-dealer or bank to another
M••••• O• O•••• I••••••• S•••••••• I••• to P•••• S••••••••• L••
left May 12, 2021, registered Jun 2, 2021 (21 days) · Other
M•• F•••••••• S•••••••• I••• to M••••• O• O•••• I••••••• S•••••••• I•••
left Apr 1, 2016, registered Sep 20, 2016 (172 days) · Other
E••••• J•••• to M•• F•••••••• S•••••••• I•••
left Sep 19, 2014, registered Feb 9, 2015 (143 days) · Other

Signals

M•••••• T••••• U•• left P•••• S••••••••• L•• for P•••••••• S••••••••• I••• (registered 2024-04-02)
Mar 19, 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