DFX Intelligence
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Registered advisor
M••••• M••••• S•••
Feed of 09/14/2026
Also filed as M••••• M••••• S••••••••• M• S•••
At current firm
3 y
since Jun 29, 2023
In the industry
21 y
since Jun 2, 2005 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Jun 29, 2023 · Mission Viejo, Ca
- W•••• F•••• A••••••• wirehouseJul 29, 2011 to Feb 2, 2022 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 10, 2008 to Dec 16, 2009 · Rolling Hills Estates, Ca
- M•• F•••••••• S•••••••• I••• formerAug 16, 2007 to Sep 8, 2008 · Orange, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJun 3, 2005 to Mar 13, 2007 · Long Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to F•••• C••••••• I••••••• S•••••••• I•••left Feb 2, 2022, registered Jun 29, 2023 (512 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Dec 16, 2009, registered Jul 29, 2011 (590 days) · Wirehouse to wirehouse
- M•• F•••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 8, 2008, registered Sep 10, 2008 (2 days) · Other
- W•••• F•••• I••••••••• L•• to M•• F•••••••• S•••••••• I•••left Mar 13, 2007, registered Aug 16, 2007 (156 days) · Other
Signals
- ••• LockedFeb 2, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address