DFX Intelligence
RIA Intelligence
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Registered advisor
M••• A•••• B•••••
Feed of 09/14/2026
At current firm
19 y
since Feb 1, 2007
In the industry
26 y
since Feb 7, 2000 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Feb 1, 2007 · La Jolla, Ca
- S••••••• F•••••••• S•••••••• I••• formerNov 5, 2003 to Mar 29, 2004 · Newport Beach, Ca
- C••••••• I••••••••• S••••••• unclassifiedMar 17, 2003 to Jun 6, 2003 · Poway, Ca
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedOct 16, 2002 to Dec 11, 2002 · Palm Desert, Ca
Moves
a registration end followed by a registration begin elsewhere
- S••••••• F•••••••• S•••••••• I••• to W•••• F•••• A•••••••left Mar 29, 2004, registered Feb 1, 2007 (1039 days) · Other
- C••••••• I••••••••• S••••••• to S••••••• F•••••••• S•••••••• I•••left Jun 6, 2003, registered Nov 5, 2003 (152 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to C••••••• I••••••••• S•••••••left Dec 11, 2002, registered Mar 17, 2003 (96 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address