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

S•••• M••••

J••• M••••• S••••••••• L••wirehouseHenderson, Nv dual registrantIAPD 7042749

Feed of 09/18/2026

Also filed as S•••• Cathlyn Summers

At current firm

2 y

since Aug 26, 2024

In the industry

13 y

since Apr 1, 2013 (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

J••• M••••• S••••••••• L•• wirehouse current
since Aug 26, 2024 · Henderson, Nv
W•••• F•••• A••••••• wirehouse
Jan 21, 2022 to May 21, 2024 · Las Vegas, Nv
J••• M••••• S••••••••• L•• wirehouse
Aug 5, 2019 to Nov 20, 2021 · Las Vegas, Nv
A••••••••• F•••••••• S•••••••• L•• national BD
May 15, 2019 to Jul 2, 2019 · Las Vegas, Nv

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to J••• M••••• S••••••••• L••
left May 21, 2024, registered Aug 26, 2024 (97 days) · Wirehouse to wirehouse
J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Nov 20, 2021, registered Jan 21, 2022 (62 days) · Wirehouse to wirehouse
A••••••••• F•••••••• S•••••••• L•• to J••• M••••• S••••••••• L••
left Jul 2, 2019, registered Aug 5, 2019 (34 days) · Affiliated broker-dealer or bank to wirehouse

Signals

S•••• M•••• added a TX registration at J••• M••••• S••••••••• L••
Sep 17, 2026 · New state registration · fact
S•••• M•••• left W•••• F•••• A••••••• for J••• M••••• S••••••••• L•• (registered 2024-08-26)
May 21, 2024 · 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address