DFX Intelligence
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Registered advisor
M••••• A••••••••• D•••••
Feed of 09/14/2026
Also filed as M••••• A••••••••• S•••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
24 y
since Aug 28, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Palm Desert, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJun 30, 2008 to Jul 13, 2018 · Palm Desert, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 1, 2005 to Apr 16, 2007 · Palm Desert, Ca
- W•••••• • R••• formerAug 30, 2002 to May 13, 2004 · Indian W••••, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to S•••••••• A••••••• L••left Apr 16, 2007, registered Jun 30, 2008 (441 days) · Other
- W•••••• • R••• to W•••• F•••• I••••••••• L••left May 13, 2004, registered Aug 1, 2005 (445 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address