DFX Intelligence
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Registered advisor
M•••••• W•••• F••••••••
Feed of 09/14/2026
Also filed as M•••••• W•••• F••••••••• W•••• F•••••••• I•
At current firm
9 y
since Jun 30, 2017
In the industry
26 y
since Jan 19, 2000 (earliest exam, job or registration)
Prior registered firms
4
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 30, 2017 · Modesto, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 5, 2008 to Jul 3, 2017 · Modesto, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Sep 17, 2008 · Turlock, Ca
- C••••••• I••••••••• S••••••• unclassifiedOct 20, 2003 to May 29, 2007 · Turlock, Ca
- M••••• S•••••• D• I••• unclassifiedSep 20, 2000 to Sep 23, 2003 · Modesto, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Jul 3, 2017, registered Jun 30, 2017 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 17, 2008, registered Sep 5, 2008 (-12 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C••••••• I••••••••• S•••••••left Sep 23, 2003, registered Oct 20, 2003 (27 days) · Other
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address