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

R•••••• N••••

R•• C•••••• M••••••• L••national BDPhoenix, Az dual registrantIAPD 6424404

Feed of 09/14/2026

Also filed as Becca N••••

At current firm

0 y

since Nov 20, 2025

In the industry

11 y

since Nov 1, 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

R•• C•••••• M••••••• L•• national BD current
since Nov 20, 2025 · Phoenix, Az
A••••••••• F•••••••• S•••••••• L•• national BD
Feb 28, 2025 to Aug 19, 2025 · Tempe, Az
M••••• S•••••• wirehouse
Apr 28, 2022 to Feb 13, 2025 · Tempe, Az
K••••• A••••••• S•••••••• L•• BD affiliated
Nov 8, 2021 to Dec 21, 2021 · Austin, Tx
M• H••••••• S••••••••• I••• BD affiliated
May 18, 2017 to Sep 7, 2021 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to R•• C•••••• M••••••• L••
left Aug 19, 2025, registered Nov 20, 2025 (93 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••
left Feb 13, 2025, registered Feb 28, 2025 (15 days) · Wirehouse to affiliated broker-dealer or bank
K••••• A••••••• S•••••••• L•• to M••••• S••••••
left Dec 21, 2021, registered Apr 28, 2022 (128 days) · Affiliated broker-dealer or bank to wirehouse
M• H••••••• S••••••••• I••• to K••••• A••••••• S•••••••• L••
left Sep 7, 2021, registered Nov 8, 2021 (62 days) · Affiliated broker-dealer or bank to another

Signals

R•••••• N•••• left A••••••••• F•••••••• S•••••••• L•• for R•• C•••••• M••••••• L•• (registered 2025-11-20)
Aug 19, 2025 · Advisor changed firm · fact
R•••••• N•••• left M••••• S•••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-02-28)
Feb 13, 2025 · 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: National broker-dealer RIAderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address