DFX Intelligence
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Registered advisor
S••••• M•••••
Feed of 09/14/2026
Also filed as S••••• M•••••
At current firm
2 y
since Mar 20, 2024
In the industry
43 y
since Jun 30, 1983 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Mar 20, 2024 · Irvine, Ca
- W•••• F•••• A••••••• wirehouseApr 27, 2012 to Mar 21, 2024 · Newport Beach, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to May 2, 2012 · Monarch Beach, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Monarch Beach, Ca
- M••••• S•••••• D• I••• unclassifiedNov 2, 1998 to Apr 2, 2007 · Monarch Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Mar 21, 2024, registered Mar 20, 2024 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left May 2, 2012, registered Apr 27, 2012 (-5 days) · Wirehouse to wirehouse
- 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
Signals
- ••• LockedMar 21, 2024 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address