DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Registered advisor

M••••• L• C••••••

M••••• S••••••wirehouseBainbridge Island, Wa dual registrantIAPD 2067901

Feed of 09/15/2026

Also filed as M••••• L• C••••••

At current firm

2 y

since Mar 4, 2024

In the industry

36 y

since Jul 30, 1990 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M••••• S•••••• wirehouse current
since Mar 4, 2024 · Bainbridge Island, Wa
R•• C•••••• M••••••• L•• national BD
Nov 14, 2008 to Mar 1, 2024 · Seattle, Wa
U•• F•••••••• S••••••• I••• wirehouse
Nov 4, 2005 to Nov 24, 2008 · Bellevue, Wa
R•• C•••••• M••••••• L•• national BD
Aug 27, 1991 to Nov 18, 2005 · Bellevue, Wa

Moves

a registration end followed by a registration begin elsewhere

R•• C•••••• M••••••• L•• to M••••• S••••••
left Mar 1, 2024, registered Mar 4, 2024 (3 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••
left Nov 24, 2008, registered Nov 14, 2008 (-10 days) · Wirehouse to affiliated broker-dealer or bank
R•• C•••••• M••••••• L•• to U•• F•••••••• S••••••• I•••
left Nov 18, 2005, registered Nov 4, 2005 (-14 days) · Affiliated broker-dealer or bank to wirehouse

Signals

M••••• L• C•••••• left R•• C•••••• M••••••• L•• for M••••• S•••••• (registered 2024-03-04)
Mar 1, 2024 · 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: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address