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•••••••

E•••••• F•••••••• E••••••independent RIAPhoenix, Az IA-onlyIAPD 6615901

Certified Financial Planner

Feed of 09/15/2026

Also filed as M•••••• S••••• M•••••••

At current firm

0 y

since May 4, 2026

In the industry

10 y

since Feb 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••• F•••••••• E•••••• independent RIA current
since May 4, 2026 · Phoenix, Az
E•••••• A••••••• G••••• L•• BD affiliated
Apr 12, 2024 to Jul 16, 2025 · Greenwood Village, Co
F••••••• P••••••• A•• W•••••••• A••••••• former
Aug 10, 2020 to Jul 25, 2022 · Jacksonville, Fl
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Sep 13, 2018 to Jul 8, 2020 · Raleigh, Nc
S•••••••• A••••••• L•• national BD
Sep 23, 2016 to Jul 11, 2018 · Durham, Nc

Moves

a registration end followed by a registration begin elsewhere

E•••••• A••••••• G••••• L•• to E•••••• F•••••••• E••••••
left Jul 16, 2025, registered May 4, 2026 (292 days) · Affiliated broker-dealer or bank to independent RIA
F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• A••••••• G••••• L••
left Jul 25, 2022, registered Apr 12, 2024 (627 days) · Affiliated broker-dealer or bank to another
N••••••••• M••••• I••••••••• S••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 8, 2020, registered Aug 10, 2020 (33 days) · Other
S•••••••• A••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••
left Jul 11, 2018, registered Sep 13, 2018 (64 days) · Other

Signals

M•••••• S••••• M••••••• left E•••••• A••••••• G••••• L•• for E•••••• F•••••••• E•••••• (registered 2026-05-04)
Jul 16, 2025 · Advisor changed firm · fact
M•••••• S••••• M••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for E•••••• A••••••• G••••• L•• (registered 2024-04-12)
Jul 25, 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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address