DFX Intelligence
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Registered advisor
M••• F•••••• A•••••
Feed of 09/14/2026
At current firm
2 y
since Jan 12, 2024
In the industry
24 y
since Feb 26, 2002 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 12, 2024 · Palm Desert, Ca
- W•••• F•••• A••••••• wirehouseSep 17, 2019 to Jan 26, 2024 · El Segundo, Ca
- M••••• S•••••• wirehouseJun 15, 2011 to Sep 23, 2019 · Santa Cruz, Ca
- E••••• J•••• national BDOct 20, 2008 to Jun 16, 2011 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jan 26, 2024, registered Jan 12, 2024 (-14 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Sep 23, 2019, registered Sep 17, 2019 (-6 days) · Wirehouse to wirehouse · moved with a team
- E••••• J•••• to M••••• S••••••left Jun 16, 2011, registered Jun 15, 2011 (-1 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedJan 26, 2024 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address