DFX Intelligence
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Registered advisor
M•••• F•••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as M•••• B••• F••••••••• B••• F•••••••
At current firm
4 y
since Sep 23, 2022
In the industry
23 y
since Feb 12, 2003 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- F••••••• F•••••••• M••••••••• L•• former currentsince Sep 23, 2022 · Seal Beach, Ca
- W•••• F•••• A••••••• wirehouseDec 19, 2011 to Sep 27, 2022 · Long Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Dec 20, 2011 · Hermosa, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 7, 2005 to Oct 23, 2009 · Palos Verdes Estates, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to F••••••• F•••••••• M••••••••• L••left Sep 27, 2022, registered Sep 23, 2022 (-4 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Dec 20, 2011, registered Dec 19, 2011 (-1 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedSep 27, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Former SEC-registered adviserderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address