DFX Intelligence
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Registered advisor
C•••••• M•••••• E••••
Feed of 09/14/2026
Also filed as C•••••• E••••••••• M• E••••••••• M•••••• E••••••••• M•••••• S••••••• E••••••••• E••••
At current firm
2 y
since Feb 15, 2024
In the industry
17 y
since Nov 25, 2008 (earliest exam, job or registration)
Prior registered firms
2
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
- M••••• S•••••• wirehouse currentsince Feb 15, 2024 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 29, 2018 to Feb 16, 2024 · San Francisco, Ca
- M••••• S•••••• wirehouseNov 19, 2009 to Jun 4, 2018 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Feb 16, 2024, registered Feb 15, 2024 (-1 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 4, 2018, registered May 29, 2018 (-6 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedFeb 16, 2024 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address