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

N••••• R••••• M•••••

F••••• M••••• W••••• A•••••••• L••independent RIANew York City, Ny IA-onlyIAPD 6470604

Certified Financial Planner

Feed of 09/15/2026

Also filed as N••••• R••••• M•••••

At current firm

0 y

since Jan 14, 2026

In the industry

10 y

since Dec 30, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F••••• M••••• W••••• A•••••••• L•• independent RIA current
since Jan 14, 2026 · Woodbury, Ny
H••• S••••••••• •••• I••• BD affiliated
Feb 28, 2025 to Jan 2, 2026 · New York, Ny
A•••••• A••••••• S••••••• former
Dec 17, 2020 to Jan 24, 2025 · Dallas, Tx
M•••••• BD affiliated
Jun 10, 2019 to Dec 1, 2020 · Plano, Tx
P•••• F•••••••• unclassified
Jan 16, 2019 to May 31, 2019 · Richardson, Tx
P•••• F•••••••• unclassified
Oct 18, 2018 to Dec 31, 2018 · Richardson, Tx
A•••••• A••••••• S••••••• former
Dec 12, 2016 to Jul 2, 2018 · Irving, Tx
B••••• W••••• M••••••••• L•• independent RIA
May 20, 2016 to Nov 17, 2016 · Lewisville, Tx
L••••• W••••• M••••••••• former
Jan 1, 2016 to May 6, 2016 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

H••• S••••••••• •••• I••• to F••••• M••••• W••••• A•••••••• L••
left Jan 2, 2026, registered Jan 14, 2026 (12 days) · Affiliated broker-dealer or bank to independent RIA
A•••••• A••••••• S••••••• to H••• S••••••••• •••• I•••
left Jan 24, 2025, registered Feb 28, 2025 (35 days) · Affiliated broker-dealer or bank to another
M•••••• to A•••••• A••••••• S•••••••
left Dec 1, 2020, registered Dec 17, 2020 (16 days) · Affiliated broker-dealer or bank to another
P•••• F•••••••• to M••••••
left May 31, 2019, registered Jun 10, 2019 (10 days) · Other
A•••••• A••••••• S••••••• to P•••• F••••••••
left Jul 2, 2018, registered Oct 18, 2018 (108 days) · Other
B••••• W••••• M••••••••• L•• to A•••••• A••••••• S•••••••
left Nov 17, 2016, registered Dec 12, 2016 (25 days) · Other
L••••• W••••• M••••••••• to B••••• W••••• M••••••••• L••
left May 6, 2016, registered May 20, 2016 (14 days) · Other

Signals

N••••• R••••• M••••• left H••• S••••••••• •••• I••• for F••••• M••••• W••••• A•••••••• L•• (registered 2026-01-14)
Jan 2, 2026 · Advisor changed firm · fact
N••••• R••••• M••••• left A•••••• A••••••• S••••••• for H••• S••••••••• •••• I••• (registered 2025-02-28)
Jan 24, 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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address