DFX Intelligence
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Registered advisor
T••••• M•••• S••••
Feed of 09/14/2026
Also filed as T••••• M•••• B••••• •••••• M•••• B•••••
At current firm
10 y
since Dec 17, 2015
In the industry
25 y
since Jul 28, 2001 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- H•••••••• A•••••••• L•• BD affiliated currentsince Dec 17, 2015 · Encino, Ca
- M••••• S•••••• wirehouseMay 16, 2011 to Dec 19, 2015 · Sherman Oaks, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 19, 2010 · Woodland Hills, Ca
- M••••• S•••••• • C•• L•• unclassifiedFeb 12, 2009 to Jun 1, 2009 · Woodland Hills, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jan 22, 2008 · Woodland Hills, Ca
- M••••• S•••••• D• I••• unclassifiedJan 16, 2002 to Apr 2, 2007 · Sherman Oaks, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to H•••••••• A•••••••• L••left Dec 19, 2015, registered Dec 17, 2015 (-2 days) · Other · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address