DFX Intelligence
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Registered advisor
M•••••• W••••• M••••
Feed of 09/14/2026
Also filed as M••• M••••••••• W• M••••
At current firm
5 y
since Dec 4, 2020
In the industry
26 y
since Apr 20, 2000 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Dec 4, 2020 · Danville, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 18, 2010 to Dec 8, 2020 · Pleasanton, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 29, 2010 · Walnut Creek, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 16, 2006 to Jun 1, 2009 · Walnut Creek, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Oct 18, 2006 · Walnut Creek, Ca
- P••••••••• E••••• G••••• L•• unclassifiedMay 21, 2001 to Jul 1, 2003 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Dec 8, 2020, registered Dec 4, 2020 (-4 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 29, 2010, registered Oct 18, 2010 (-11 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Oct 18, 2006, registered Oct 16, 2006 (-2 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address