DFX Intelligence
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Registered advisor
M•••••• M•• C••••
Feed of 09/14/2026
Also filed as M•••••• C••••••••• M•• C••••••••• M•••••• C••••
At current firm
1 y
since Sep 5, 2025
In the industry
24 y
since May 17, 2002 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Berkeley, Ca
- A•••••• A••••••• S••••••• formerSep 20, 2021 to Sep 5, 2025 · Berkeley, Ca
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Oct 19, 2021 · Berkeley, Ca
- A••••••••• S••••••••• C•••• unclassifiedDec 16, 2008 to Sep 8, 2009 · Berkeley, Ca
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedDec 16, 2008 to Oct 13, 2009 · Boston, Ma
- F•• S••••••••• C••••••••• formerJul 21, 2004 to Dec 31, 2008 · Berkeley, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMay 20, 2002 to Dec 6, 2002 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to A•••••• A••••••• S•••••••left Oct 19, 2021, registered Sep 20, 2021 (-29 days) · Affiliated broker-dealer or bank to another
- A••••••••• P••••••• I••••••••• A••••••• I•• to L•• F•••••••• L••left Oct 13, 2009, registered Sep 8, 2009 (-35 days) · Other
- A••••••••• S••••••••• C•••• to A••••••••• P••••••• I••••••••• A••••••• I••left Sep 8, 2009, registered Dec 16, 2008 (-266 days) · Other
- F•• S••••••••• C••••••••• to A••••••••• S••••••••• C••••left Dec 31, 2008, registered Dec 16, 2008 (-15 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to F•• S••••••••• C•••••••••left Dec 6, 2002, registered Jul 21, 2004 (593 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address