DFX Intelligence
RIA Intelligence
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Registered advisor
M•••••• A••• M••••••
Feed of 09/14/2026
At current firm
0 y
since Oct 6, 2025
In the industry
32 y
since Oct 12, 1993 (earliest exam, job or registration)
Prior registered firms
3
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 6, 2025 · San Diego, Ca
- C••••••••• F•••••••• N•••••• national BDMay 19, 2010 to Oct 6, 2025 · San Diego, Ca
- M•••••• W••••• M••••••••• I••• unclassifiedJul 31, 2000 to Dec 31, 2024
- L•• F•••••••• L•• BD affiliatedDec 31, 1997 to Jun 16, 2010 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 6, 2025, registered Oct 6, 2025 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• W••••• M••••••••• I••• to C••••••••• F•••••••• N••••••left Dec 31, 2024, registered May 19, 2010 (-5340 days) · Other
- L•• F•••••••• L•• to M•••••• W••••• M••••••••• I•••left Jun 16, 2010, registered Jul 31, 2000 (-3607 days) · Other
Signals
- M•••••• A••• M•••••• left C••••••••• F•••••••• N•••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-10-06)Oct 6, 2025 · Advisor changed firm · fact
- M•••••• A••• M•••••• left M•••••• W••••• M••••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2010-05-19)Dec 31, 2024 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address