DFX Intelligence
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Registered advisor
M••• D•••• Y•••••
Feed of 09/15/2026
Also filed as M••• L••• Y••••
At current firm
6 y
since Aug 7, 2020
In the industry
30 y
since Oct 12, 1995 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
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
- K••••• P•••••• W••••• S•••••••• L•• BD affiliated currentsince Aug 7, 2020 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 1, 2013 to Aug 7, 2020 · Scottsdale, Az
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 14, 2013 · Prescott, Az
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Prescott, Az
- M••••• S•••••• D• I••• unclassifiedApr 15, 2005 to Apr 2, 2007 · Prescott, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 8, 1997 to Apr 20, 2005 · Sun City, Az
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K••••• P•••••• W••••• S•••••••• L••left Aug 7, 2020, registered Aug 7, 2020 (0 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 14, 2013, registered Mar 1, 2013 (-13 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••left Apr 20, 2005, registered Apr 15, 2005 (-5 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address