DFX Intelligence
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Registered advisor
B•••••• H•• T••••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseSan Francisco, Cadual registrantIAPD 4184491
Feed of 09/14/2026
Also filed as B•••••• H•• T••••••••• H• T••••••••• T••••••
At current firm
6 y
since Jan 3, 2020
In the industry
26 y
since Aug 11, 2000 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 3, 2020 · San Francisco, Ca
- R•••••• J•••• • A••••••••• I••• national BDMay 21, 2018 to Dec 17, 2019 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 17, 2017 to May 21, 2018 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 8, 2012 to Aug 10, 2016 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 17, 2008 to Jun 1, 2011 · Oakland, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 1, 2002 to Sep 11, 2007 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 17, 2019, registered Jan 3, 2020 (17 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left May 21, 2018, registered May 21, 2018 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
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