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

P•••••• M•••••• S••••••

U•• F•••••••• S••••••• I•••wirehousePalo Alto, Cadual registrantIAPD 6629072

Feed of 09/14/2026

Also filed as P•••••• M•••••• S••••••

At current firm

3 y

since Jun 13, 2023

In the industry

10 y

since Apr 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

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U•• F•••••••• S••••••• I••• wirehouse current
since Jun 13, 2023 · Palo Alto, Ca
E••••• J•••• national BD
Jan 28, 2022 to Jun 22, 2023 · Sacramento, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 13, 2019 to Jan 28, 2022 · Sacramento, Ca
H•••••• S••••••••• I••• BD affiliated
May 28, 2019 to Jul 24, 2019 · Roseville, Ca
M••••• S•••••• wirehouse
Jul 1, 2016 to Oct 1, 2018 · Sacramento, Ca

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to U•• F•••••••• S••••••• I•••
left Jun 22, 2023, registered Jun 13, 2023 (-9 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••
left Jan 28, 2022, registered Jan 28, 2022 (0 days) · Wirehouse to affiliated broker-dealer or bank
H•••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 24, 2019, registered Nov 13, 2019 (112 days) · Affiliated broker-dealer or bank to wirehouse
M••••• S•••••• to H•••••• S••••••••• I•••
left Oct 1, 2018, registered May 28, 2019 (239 days) · Wirehouse to affiliated broker-dealer or bank

Signals

P•••••• M•••••• S•••••• left E••••• J•••• for U•• F•••••••• S••••••• I••• (registered 2023-06-13)
Jun 22, 2023 · Advisor changed firm · fact
P•••••• M•••••• S•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for E••••• J•••• (registered 2022-01-28)
Jan 28, 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: Wirehousederived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address