DFX Intelligence
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Registered advisor
O••• M•••••• S••••••
Feed of 09/14/2026
At current firm
6 y
since May 12, 2020
In the industry
42 y
since Aug 1, 1984 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- M••••• S•••••• wirehouse currentsince May 12, 2020 · Scottsdale, Az
- M••••• S•••••• • C•• L•• unclassifiedMar 13, 2009 to Jun 1, 2009 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 22, 1992 to Mar 16, 2009 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered May 12, 2020 (3998 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Mar 16, 2009, registered Mar 13, 2009 (-3 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address