DFX Intelligence
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Registered advisor
B•••••• A• M•••••••••
Feed of 09/14/2026
Also filed as B•••••• A• M•••••••••
At current firm
5 y
since Mar 11, 2021
In the industry
23 y
since Oct 30, 2002 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
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
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Oct 10, 2023 · Calabasas, Ca
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Mar 11, 2021 · Calabasas, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 30, 2021 · Los Angeles, Ca
- M••••• S•••••• • C•• L•• unclassifiedAug 19, 2008 to Jun 1, 2009 · Los Angeles, Ca
- L••••• B••••••• I••• unclassifiedApr 27, 2004 to Aug 26, 2008 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R••••••••• C•••••• M•••••••••left Mar 30, 2021, registered Mar 11, 2021 (-19 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••••• B••••••• I••• to M••••• S•••••• • C•• L••left Aug 26, 2008, registered Aug 19, 2008 (-7 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address