DFX Intelligence
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Registered advisor
M••• R•••••• L••••••
Feed of 09/14/2026
At current firm
11 y
since Aug 13, 2015
In the industry
29 y
since Dec 10, 1996 (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
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
- V••••••• A•••••••• I••• BD affiliated currentsince Aug 13, 2015 · Scottsdale, Az
- C•••••• S••••• • C••• I••• national BDJan 4, 2006 to Aug 17, 2015 · Phoenix, Az
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Dec 20, 2005 · Scottsdale, Az
- Q•••• • R•••••• I••• unclassifiedNov 10, 2003 to Oct 20, 2004 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to V••••••• A•••••••• I•••left Aug 17, 2015, registered Aug 13, 2015 (-4 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left Dec 20, 2005, registered Jan 4, 2006 (15 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address