DFX Intelligence
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Registered advisor
M•••••• A•• M•••
Feed of 09/14/2026
At current firm
13 y
since May 31, 2013
In the industry
28 y
since Jul 31, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince May 31, 2013 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseApr 27, 2006 to Jun 3, 2013 · La Jolla, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 11, 2000 to Apr 25, 2006 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• W••••• P•••••••• L••left Jun 3, 2013, registered May 31, 2013 (-3 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Apr 25, 2006, registered Apr 27, 2006 (2 days) · Wirehouse to wirehouse
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address