DFX Intelligence
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Registered advisor
M•••••••• M••••• D••••
Feed of 09/14/2026
Also filed as M•••••••• M••••••••• M••••••••• M••••• D••••••••• D••••••••• D••••
At current firm
11 y
since Nov 7, 2014
In the industry
39 y
since May 5, 1987 (earliest exam, job or registration)
Prior registered firms
1
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
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Nov 7, 2014 · Seattle, Wa
- M•••••• W••••• R••••• I••• formerSep 29, 2003 to Nov 7, 2014 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- M•••••• W••••• R••••• I••• to R••••• W• B•••• • C•• I•••••••••left Nov 7, 2014, registered Nov 7, 2014 (0 days) · corporate re-registration, not a move
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address