DFX Intelligence
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Registered advisor
M••••• M•••••
Feed of 09/15/2026
Also filed as M••••• M••••••••• M••••••••• M•••••
At current firm
2 y
since Nov 17, 2023
In the industry
18 y
since Apr 11, 2008 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Nov 17, 2023 · Madison, Wi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 18, 2015 to May 25, 2022 · Fontana, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 11, 2015 · Eastvale, Ca
- C•••• I••••••••• S••••••• C•••• formerAug 13, 2009 to Oct 1, 2012 · Eastvale, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 16, 2008 to Aug 6, 2009 · Woodland Hills, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 14, 2008 to Jun 13, 2008 · Ontario, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left May 25, 2022, registered Nov 17, 2023 (541 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 11, 2015, registered Mar 18, 2015 (7 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to C•••• I••••••••• S••••••• C••••left Aug 6, 2009, registered Aug 13, 2009 (7 days) · Other
- M••••• S•••••• • C•• L•• to V•••• F•••••••• A•••••••• I•••left Jun 13, 2008, registered Jun 16, 2008 (3 days) · Other
Signals
- ••• LockedMay 25, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address