DFX 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
M••••• L••• D•••••••
Feed of 09/15/2026
At current firm
3 y
since Sep 30, 2022
In the industry
22 y
since Jun 1, 2004 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- C•••••• S••••• • C••• I••• national BD currentsince Sep 30, 2022 · Lemon Grove, Ca
- T• A••••••••• I••• formerSep 28, 2018 to Oct 14, 2022 · San Diego, Ca
- P•••• S••••••••• L•• no RAUMJul 27, 2016 to Aug 23, 2018 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Sep 30, 2022 (-14 days) · channel change inside one enterprise, not a move · moved with a team
- P•••• S••••••••• L•• to T• A••••••••• I•••left Aug 23, 2018, registered Sep 28, 2018 (36 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address