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•••••• S•••••• M••••••

M••••• S••••••wirehouseAustin, Txdual registrantIAPD 6307545

Feed of 09/14/2026

Also filed as M•••••• M••••••

At current firm

1 y

since Jun 3, 2025

In the industry

11 y

since Feb 6, 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

M••••• S•••••• wirehouse current
since Jun 3, 2025 · Austin, Tx
G•••••• S•••• W••••• S•••••••• L••• BD affiliated
Jan 28, 2020 to Aug 31, 2022 · Parsippany, Nj
W•••• F•••• A••••••• wirehouse
Jan 8, 2019 to Nov 7, 2019 · Holmdel, Nj
B• R•••• W••••• A•••••••• I••• BD affiliated
Jun 20, 2018 to Dec 17, 2018 · New York, Ny
F•••••••• A••••••• S•••••••• L•• former
May 10, 2017 to May 15, 2017 · Edison, Nj

Moves

a registration end followed by a registration begin elsewhere

G•••••• S•••• W••••• S•••••••• L••• to M••••• S••••••
left Aug 31, 2022, registered Jun 3, 2025 (1007 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to G•••••• S•••• W••••• S•••••••• L•••
left Nov 7, 2019, registered Jan 28, 2020 (82 days) · Wirehouse to affiliated broker-dealer or bank
B• R•••• W••••• A•••••••• I••• to W•••• F•••• A•••••••
left Dec 17, 2018, registered Jan 8, 2019 (22 days) · Affiliated broker-dealer or bank to wirehouse
F•••••••• A••••••• S•••••••• L•• to B• R•••• W••••• A•••••••• I•••
left May 15, 2017, registered Jun 20, 2018 (401 days) · Other

Signals

M•••••• S•••••• M•••••• left G•••••• S•••• W••••• S•••••••• L••• for M••••• S•••••• (registered 2025-06-03)
Aug 31, 2022 · 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: Wirehousederived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address