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

E••• M•••••••• R•••••••

S•••••••• A••••••• L••national BDSacramento, Cadual registrantIAPD 6847302

Feed of 09/14/2026

Also filed as E••• M•••••••• R•••••••

At current firm

0 y

since Jun 23, 2026

In the industry

13 y

since Oct 1, 2012 (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

S•••••••• A••••••• L•• national BD current
since Jun 23, 2026 · Sacramento, Ca
U•••• W••••• M••••••••• O• U•• independent RIA
Oct 14, 2025 to Dec 19, 2025 · Henderson, Nv
J••• M••••• S••••••••• L•• wirehouse
May 4, 2022 to May 15, 2025 · Cincinnati, Oh
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 14, 2019 to Apr 14, 2022 · Cincinnati, Oh
F••••••• P••••••• A•• W•••••••• A••••••• former
Nov 12, 2018 to Sep 10, 2019 · Covington, Ky

Moves

a registration end followed by a registration begin elsewhere

U•••• W••••• M••••••••• O• U•• to S•••••••• A••••••• L••
left Dec 19, 2025, registered Jun 23, 2026 (186 days) · RIA to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to U•••• W••••• M••••••••• O• U••
left May 15, 2025, registered Oct 14, 2025 (152 days) · Wirehouse to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
left Apr 14, 2022, registered May 4, 2022 (20 days) · Wirehouse to wirehouse
F••••••• P••••••• A•• W•••••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 10, 2019, registered Oct 14, 2019 (34 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team

Signals

E••• M•••••••• R••••••• left U•••• W••••• M••••••••• O• U•• for S•••••••• A••••••• L•• (registered 2026-06-23)
Dec 19, 2025 · Advisor changed firm · fact
E••• M•••••••• R••••••• left J••• M••••• S••••••••• L•• for U•••• W••••• M••••••••• O• U•• (registered 2025-10-14)
May 15, 2025 · Advisor changed firm · fact
E••• M•••••••• R••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• S••••••••• L•• (registered 2022-05-04)
Apr 14, 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: National broker-dealer RIAderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address