DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
M••••••• F•••••••• P••••
Feed of 09/14/2026
Also filed as M••••••• F••••••••
At current firm
1 y
since May 22, 2025
In the industry
23 y
since Apr 25, 2003 (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
2
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince May 22, 2025 · San Mateo, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 14, 2022 to May 26, 2023 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 7, 2007 to Jun 9, 2022 · San Francisco, Ca
- P••••••••• S••••••••• C••••••••• independent RIAFeb 2, 2005 to Oct 9, 2007 · Carpinteria, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDApr 28, 2003 to Sep 8, 2003 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left May 26, 2023, registered May 22, 2025 (727 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 9, 2022, registered Jul 14, 2022 (35 days) · Affiliated broker-dealer or bank to wirehouse
- P••••••••• S••••••••• C••••••••• to C•••••••• G••••• M•••••• I•••left Oct 9, 2007, registered Nov 7, 2007 (29 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P••••••••• S••••••••• C•••••••••left Sep 8, 2003, registered Feb 2, 2005 (513 days) · Other
Signals
- M••••••• F•••••••• P•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••• S•••••• (registered 2025-05-22)May 26, 2023 · Advisor changed firm · fact
- M••••••• F•••••••• P•••• left C•••••••• G••••• M•••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-07-14)Jun 9, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address