DFX Intelligence
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Registered advisor
M•••••• C•••••
Feed of 09/15/2026
Also filed as M•••••• B•••• C•••••
At current firm
5 y
since Mar 29, 2021
In the industry
20 y
since Jul 25, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 29, 2021 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 4, 2013 to Mar 27, 2021 · Galveston, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 17, 2008 to Nov 4, 2013 · Houston, Tx
- T• A••••••••• I••• formerDec 17, 2008 to Nov 4, 2013 · Houston, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDSep 19, 2006 to Dec 8, 2008 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Mar 27, 2021, registered Mar 29, 2021 (2 days) · Wirehouse to affiliated broker-dealer or bank
- T• A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 4, 2013, registered Dec 4, 2013 (30 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 4, 2013, registered Dec 4, 2013 (30 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Dec 8, 2008, registered Dec 17, 2008 (9 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address