DFX Intelligence
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Registered advisor
M•••••• A•••••• M••••••••
Feed of 09/14/2026
At current firm
4 y
since Apr 21, 2022
In the industry
38 y
since Jun 9, 1988 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Apr 21, 2022 · Beverly Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 11, 2015 to Apr 22, 2022 · Santa Monica, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 24, 2008 to Jun 22, 2015 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 4, 2003 to Nov 6, 2008 · Los Angeles, Ca
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Dec 18, 2003 · Los Angeles, Ca
- P••••••• L•• unclassifiedAug 8, 2002 to Jan 17, 2003 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Apr 22, 2022, registered Apr 21, 2022 (-1 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 22, 2015, registered Jun 11, 2015 (-11 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Nov 6, 2008, registered Oct 24, 2008 (-13 days) · Other
- C••••• S••••• S••••••••• •••• L•• to C•••••••• G••••• M•••••• I•••left Dec 18, 2003, registered Dec 4, 2003 (-14 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedApr 22, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address