DFX Intelligence
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Registered advisor
M••• T•••••• R••••
Feed of 09/14/2026
At current firm
8 y
since Sep 21, 2018
In the industry
41 y
since Feb 8, 1985 (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
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 21, 2018 · Newport Beach, Ca
- M••••• S•••••• wirehouseJun 2, 2009 to Sep 24, 2018 · Purchase, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 27, 2009 to Apr 7, 2009 · Newport Beach, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 2, 2004 to Jun 1, 2009 · Newport Beach, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to Feb 3, 2004 · Newport Bch, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to J••• M••••• S••••••••• L••left Sep 24, 2018, registered Sep 21, 2018 (-3 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 2, 2009 (1 day) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Apr 7, 2009, registered Jun 2, 2009 (56 days) · Wirehouse to wirehouse
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Feb 3, 2004, registered Feb 2, 2004 (-1 days) · Other
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
- Wirehousederived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address