DFX Intelligence
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Registered advisor
M•••••• A••••• G••••••••
Feed of 09/14/2026
At current firm
6 y
since Jun 8, 2020
In the industry
40 y
since Jul 23, 1986 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jun 8, 2020 · Sherman Oaks, Ca
- S•••••••• F••••••••• I••• formerOct 8, 2012 to Jun 11, 2020 · Scottsdale, Az
- B••••••• I••••••••• S•••••••• I••• ••••• formerJun 21, 2011 to Oct 12, 2012 · Thousand Oaks, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDApr 7, 2009 to Jun 30, 2011 · Los Angeles, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedJul 15, 2002 to Apr 9, 2009 · Woodland Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left Jun 11, 2020, registered Jun 8, 2020 (-3 days) · Affiliated broker-dealer or bank to another
- B••••••• I••••••••• S•••••••• I••• ••••• to S•••••••• F••••••••• I•••left Oct 12, 2012, registered Oct 8, 2012 (-4 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Jun 30, 2011, registered Jun 21, 2011 (-9 days) · Other
- V•••• F•••••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Apr 9, 2009, registered Apr 7, 2009 (-2 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address