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•••••••• R••••••••

V••••••• A•••••••• I•••BD affiliatedPlano, Txdual registrantIAPD 6448864

Certified Financial Planner

Feed of 09/14/2026

Also filed as M•••••• S R••••••••

At current firm

0 y

since May 27, 2026

In the industry

11 y

since May 1, 2015 (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

V••••••• A•••••••• I••• BD affiliated current
since May 27, 2026 · Plano, Tx
S•••• I••••• S••••••••• L•• independent RIA
Mar 24, 2025 to Apr 14, 2026 · Portland, Or
F••••• I••••••••• independent RIA
May 16, 2022 to Mar 7, 2025 · Plano, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 11, 2018 to Feb 17, 2021 · Palm Springs, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Mar 27, 2017 to Jun 8, 2018 · Rancho Cucamonga, Ca
T• A••••••••• I••• former
Mar 27, 2017 to Jun 8, 2018 · Upland, Ca
W•••••• • R••• former
Feb 9, 2016 to Nov 15, 2016 · Riverside, Ca

Moves

a registration end followed by a registration begin elsewhere

S•••• I••••• S••••••••• L•• to V••••••• A•••••••• I•••
left Apr 14, 2026, registered May 27, 2026 (43 days) · RIA to affiliated broker-dealer or bank
F••••• I••••••••• to S•••• I••••• S••••••••• L••
left Mar 7, 2025, registered Mar 24, 2025 (17 days) · RIA to RIA
A••••••••• F•••••••• S•••••••• L•• to F••••• I•••••••••
left Feb 17, 2021, registered May 16, 2022 (453 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••••••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Jun 8, 2018, registered Jun 11, 2018 (3 days) · RIA to affiliated broker-dealer or bank
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jun 8, 2018, registered Mar 27, 2017 (-438 days) · channel change inside one enterprise, not a move
W•••••• • R••• to T• A••••••••• I•••
left Nov 15, 2016, registered Mar 27, 2017 (132 days) · Other · moved with a team

Signals

M•••••• S•••••••• R•••••••• left S•••• I••••• S••••••••• L•• for V••••••• A•••••••• I••• (registered 2026-05-27)
Apr 14, 2026 · Advisor changed firm · fact
M•••••• S•••••••• R•••••••• left F••••• I••••••••• for S•••• I••••• S••••••••• L•• (registered 2025-03-24)
Mar 7, 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: 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