DFX Intelligence
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Registered advisor
M•••••• C• D••••
Feed of 09/15/2026
Also filed as M•••••• C• D••••••••• C••••••••• D••••••••• D••••••••• D••••
At current firm
0 y
since Jun 26, 2026
In the industry
30 y
since Mar 20, 1996 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jun 26, 2026 · San Carlos, Ca
- M•••••• A•••••• N•••••• BD affiliatedMar 29, 2018 to Jun 26, 2026 · Redwood City, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Apr 3, 2018 · Palo Alto, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 22, 2002 to Oct 23, 2009 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• A•••••• N•••••• to P•••••• A•••••• G••••• L••left Jun 26, 2026, registered Jun 26, 2026 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••••• A•••••• N••••••left Apr 3, 2018, registered Mar 29, 2018 (-5 days) · Wirehouse to independent RIA
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address