DFX Intelligence
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Registered advisor
A••••• M•••••••
Feed of 09/14/2026
At current firm
14 y
since Jan 6, 2012
In the industry
22 y
since Jun 3, 2004 (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
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
- T••••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Jan 6, 2012 · Orange, Ca
- I••••••••• A••••••• I••••••••• I••• unclassifiedSep 15, 2011 to Jan 6, 2012 · Orange, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMOct 30, 2008 to Nov 5, 2010 · Irvine, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJun 7, 2004 to Dec 5, 2007 · Long Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- I••••••••• A••••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Jan 6, 2012, registered Jan 6, 2012 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to I••••••••• A••••••• I••••••••• I•••left Nov 5, 2010, registered Sep 15, 2011 (314 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Dec 5, 2007, registered Oct 30, 2008 (330 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address