DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
D••••• M•••••• R••••••
Feed of 09/14/2026
At current firm
2 y
since Jan 9, 2024
In the industry
26 y
since Dec 29, 1999 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 9, 2024 · Rancho Santa Fe, Ca
- W•••• F•••• A••••••• wirehouseOct 11, 2013 to Feb 6, 2024 · La Jolla, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 23, 2013 · San Diego, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · San Diego, Ca
- M••••• S•••••• D• I••• unclassifiedFeb 17, 2006 to Apr 2, 2007 · San Diego, Ca
- U•• F•••••••• S••••••• I••• wirehouseDec 10, 2003 to Mar 13, 2006 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Feb 6, 2024, registered Jan 9, 2024 (-28 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Oct 23, 2013, registered Oct 11, 2013 (-12 days) · Wirehouse to wirehouse
- 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
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left Mar 13, 2006, registered Feb 17, 2006 (-24 days) · Other
Signals
- D••••• M•••••• R•••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2024-01-09)Feb 6, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address