DFX Intelligence
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Registered advisor
M•••••• A•••• D•• V••••••
Feed of 09/14/2026
Also filed as M•••••• A•••• D••••••••• A•••• D•• V•••••• J••••••••• A•••• D•• V••••••••• A•••• D•• V•••••• J••
At current firm
10 y
since Jan 7, 2016
In the industry
37 y
since Oct 28, 1988 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jan 7, 2016 · San Diego, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 14, 2016 · San Diego, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · San Diego, Ca
- M••••• S•••••• D• I••• unclassifiedNov 4, 2005 to Apr 2, 2007 · San Diego, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Nov 15, 2005 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Jan 14, 2016, registered Jan 7, 2016 (-7 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• D• I•••left Nov 15, 2005, registered Nov 4, 2005 (-11 days) · Other
Signals
No dated event on this person.
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address