DFX Intelligence
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Registered advisor
T••• M•••• M••••••
Feed of 09/14/2026
At current firm
2 y
since Jun 14, 2024
In the industry
25 y
since Apr 1, 2001 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
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
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Cottonwood Heights, Ut
- S••••••••• A•••••• A•••••••• I••• formerDec 4, 2023 to Jun 14, 2024 · Cottonwood Heights, Ut
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Dec 5, 2023 · Gardena, Ca
- S•••••••• F••••••••• I••• formerApr 18, 2017 to Sep 1, 2023 · Gardena, Ca
- I••••••••• C•••••• M••••••••• unclassifiedSep 16, 2003 to Nov 13, 2019 · Torrance, Ca
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- O•••• W•••••• I••• to S••••••••• A•••••• A•••••••• I•••left Dec 5, 2023, registered Dec 4, 2023 (-1 days) · channel change inside one enterprise, not a move
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- I••••••••• C•••••• M••••••••• to S•••••••• F••••••••• I•••left Nov 13, 2019, registered Apr 18, 2017 (-939 days) · Other · moved with a team
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address