DFX Intelligence
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Registered advisor
M••• W•••••• R•••••
Feed of 09/14/2026
At current firm
5 y
since Mar 22, 2021
In the industry
44 y
since Dec 31, 1981 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- T••••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Mar 22, 2021 · Orange, Ca
- I••••••••• A••••••• I••••••••• I••• unclassifiedJul 8, 2006 to Jan 6, 2012 · Orange, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedApr 19, 2006 to Aug 23, 2006 · Philadelphia, Pa
Moves
a registration end followed by a registration begin elsewhere
- I••••••••• A••••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Jan 6, 2012, registered Mar 22, 2021 (3363 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to I••••••••• A••••••• I••••••••• I•••left Aug 23, 2006, registered Jul 8, 2006 (-46 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address