DFX Intelligence
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Registered advisor
C•••••••• M••• A•••••••
Feed of 09/14/2026
Also filed as C•••••••• M••• B•••••
At current firm
6 y
since Jan 10, 2020
In the industry
29 y
since Jul 8, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
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
- W•••• F•••• A••••••• wirehouse currentsince Jan 10, 2020 · Newport Beach, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 27, 2011 to Jan 21, 2020 · Newport Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 19, 2006 to Oct 27, 2011 · El Segundo, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 14, 2003 to May 26, 2006 · Long Beach, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 8, 1997 to Oct 30, 2003 · Orange, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jan 21, 2020, registered Jan 10, 2020 (-11 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Oct 27, 2011, registered Oct 27, 2011 (0 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 26, 2006, registered May 19, 2006 (-7 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Oct 30, 2003, registered Oct 14, 2003 (-16 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address