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.

Registered advisor

Noah Brian Ozgo

MML Investors Services, LLCBD affiliatedAustin, Txdual registrantIAPD 6308602

Chartered Financial Analyst

Feed of 09/14/2026

Also filed as Noah Brian Ozgo

At current firm

1 y

since Aug 28, 2025

In the industry

11 y

since Oct 9, 2014 (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

MML Investors Services, LLC BD affiliated current
since Aug 28, 2025 · Austin, Tx
Sowell Management independent RIA
Apr 15, 2024 to Aug 22, 2025 · Houston, Tx
MML Investors Services, LLC BD affiliated
Jun 8, 2023 to Apr 1, 2024 · Fate, Tx
Neuberger Berman Bd LLC no RAUM
Feb 28, 2018 to May 16, 2023 · Dallas, Tx
J.P. Morgan Securities LLC wirehouse
Oct 2, 2015 to Mar 8, 2018 · Flower Mound, Tx
J.P. Morgan Securities LLC wirehouse
Mar 16, 2015 to Jul 7, 2015 · San Antonio, Tx

Moves

a registration end followed by a registration begin elsewhere

Sowell Management to MML Investors Services, LLC
left Aug 22, 2025, registered Aug 28, 2025 (6 days) · RIA to affiliated broker-dealer or bank
MML Investors Services, LLC to Sowell Management
left Apr 1, 2024, registered Apr 15, 2024 (14 days) · Affiliated broker-dealer or bank to independent RIA
Neuberger Berman Bd LLC to MML Investors Services, LLC
left May 16, 2023, registered Jun 8, 2023 (23 days) · Other
J.P. Morgan Securities LLC to Neuberger Berman Bd LLC
left Mar 8, 2018, registered Feb 28, 2018 (-8 days) · Other

Signals

Noah Brian Ozgo left Sowell Management for Mml Investors Services, Llc (registered 2025-08-28)
Aug 22, 2025 · Advisor changed firm · fact
Noah Brian Ozgo left Mml Investors Services, Llc for Sowell Management (registered 2024-04-15)
Apr 1, 2024 · Advisor changed firm · fact
Noah Brian Ozgo left Neuberger Berman Bd Llc for Mml Investors Services, Llc (registered 2023-06-08)
May 16, 2023 · 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address