DFX Intelligence
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Registered advisor
M••• D••••••
Feed of 09/14/2026
At current firm
2 y
since Oct 23, 2023
In the industry
31 y
since Jan 25, 1995 (earliest exam, job or registration)
Prior registered firms
6
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Oct 23, 2023 · Beverly Hills, Ca
- J••• M••••• S••••••••• L•• wirehouseAug 6, 2015 to Oct 27, 2023 · Beverly Hills, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Aug 8, 2013 · Los Angeles, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Oct 1, 2012 · Beverly Hills, Ca
- W••• I••••••••• I••• unclassifiedNov 21, 2008 to May 2, 2009 · Beverly Hills, Ca
- T• A••••••••• I••• formerFeb 8, 2006 to Dec 4, 2006 · Beverly Hills, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMar 15, 2002 to May 2, 2005 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Oct 27, 2023, registered Oct 23, 2023 (-4 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to W••• I••••••••• I•••left Dec 4, 2006, registered Nov 21, 2008 (718 days) · Other
- U••• B•••••• A•••••••• L•• to T• A••••••••• I•••left May 2, 2005, registered Feb 8, 2006 (282 days) · Other
Signals
- M••• D•••••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2023-10-23)Oct 27, 2023 · 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address