DFX Intelligence
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Registered advisor
C•••• M••••
Feed of 09/14/2026
Also filed as C•••• M•••••• M••••••••• M•••••• M••••••••• M• M••••
At current firm
1 y
since Jan 14, 2025
In the industry
18 y
since Oct 1, 2007 (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
S63, 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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 14, 2025 · Scottsdale, Az
- J••• M••••• S••••••••• L•• wirehouseFeb 21, 2013 to Jan 14, 2025 · Sun City, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 27, 2010 to Feb 13, 2013 · Chandler, Az
- M••••• S•••••• wirehouseOct 28, 2009 to Sep 28, 2010 · Scottsdale, Az
- U••• F•••••••• P••••••• S••••••• formerMay 8, 2009 to Jun 8, 2009 · Phoenix, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 24, 2008 to Feb 11, 2009 · Scottsdale, Az
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 14, 2025, registered Jan 14, 2025 (0 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Feb 13, 2013, registered Feb 21, 2013 (8 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 28, 2010, registered Sep 27, 2010 (-1 days) · Wirehouse to wirehouse
- U••• F•••••••• P••••••• S••••••• to M••••• S••••••left Jun 8, 2009, registered Oct 28, 2009 (142 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• F•••••••• P••••••• S•••••••left Feb 11, 2009, registered May 8, 2009 (86 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
Signals
- ••• LockedJan 14, 2025 · 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