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•••••• W••••• T••••

L•• F•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 6780673

Feed of 09/15/2026

Also filed as M•••••• T••••

At current firm

1 y

since Jun 4, 2025

In the industry

17 y

since May 1, 2009 (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

L•• F•••••••• L•• BD affiliated current
since Jun 4, 2025 · Cincinnati, Oh
A•••••• A••••••• S••••••• former
Aug 3, 2023 to Jun 9, 2025 · Cincinnati, Oh
H•••• W••••• M••••••••• former
Mar 22, 2022 to Aug 2, 2023 · Cincinnati, Oh
9••• W••••• M••••••••• L•• former
Nov 11, 2020 to Mar 17, 2022 · Blue Ash, Oh
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 12, 2020 to Oct 29, 2020 · Cincinnati, Oh

Moves

a registration end followed by a registration begin elsewhere

A•••••• A••••••• S••••••• to L•• F•••••••• L••
left Jun 9, 2025, registered Jun 4, 2025 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
H•••• W••••• M••••••••• to A•••••• A••••••• S•••••••
left Aug 2, 2023, registered Aug 3, 2023 (1 days) · RIA to affiliated broker-dealer or bank · moved with a team
9••• W••••• M••••••••• L•• to H•••• W••••• M•••••••••
left Mar 17, 2022, registered Mar 22, 2022 (5 days) · RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to 9••• W••••• M••••••••• L••
left Oct 29, 2020, registered Nov 11, 2020 (13 days) · Wirehouse to independent RIA

Signals

M•••••• W••••• T•••• left A•••••• A••••••• S••••••• for L•• F•••••••• L•• (registered 2025-06-04)
Jun 9, 2025 · Advisor changed firm · fact
M•••••• W••••• T•••• left H•••• W••••• M••••••••• for A•••••• A••••••• S••••••• (registered 2023-08-03)
Aug 2, 2023 · Advisor changed firm · fact
M•••••• W••••• T•••• left 9••• W••••• M••••••••• L•• for H•••• W••••• M••••••••• (registered 2022-03-22)
Mar 17, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address