DFX Intelligence
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Registered advisor
D•••• B•••• M•••••
Feed of 09/14/2026
At current firm
1 y
since Jan 23, 2025
In the industry
31 y
since Dec 19, 1994 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- H•••••••• A•••••••• L•• BD affiliated currentsince Jan 23, 2025 · Chicago, Il
- U•• F•••••••• S••••••• I••• wirehouseFeb 16, 2007 to Jul 9, 2012 · San Diego, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Feb 26, 2007 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to H•••••••• A•••••••• L••left Jul 9, 2012, registered Jan 23, 2025 (4581 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Feb 26, 2007, registered Feb 16, 2007 (-10 days) · Other
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address