DFX Intelligence
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Registered advisor
C••••••••• F•••••• M•••••
Feed of 09/14/2026
Also filed as C•••• M••••••••• F•••••• M•••••
At current firm
19 y
since Sep 28, 2006
In the industry
32 y
since Jun 16, 1994 (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
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
- L•• F•••••••• L•• BD affiliated currentsince Sep 28, 2006 · San Diego, Ca
- P•••• S••••••••• L•• no RAUMDec 19, 2005 to Aug 24, 2006 · San Diego, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Nov 23, 2004 · San Diego, Ca
- Q•••• • R•••••• I••• unclassifiedNov 21, 2002 to Oct 20, 2004 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• F•••••••• L••left Aug 24, 2006, registered Sep 28, 2006 (35 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to P•••• S••••••••• L••left Nov 23, 2004, registered Dec 19, 2005 (391 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address