DFX Intelligence
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Registered advisor
A••••• E••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as A••••• C••••• E••••
At current firm
2 y
since Apr 19, 2024
In the industry
18 y
since Dec 21, 2007 (earliest exam, job or registration)
Prior registered firms
4
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 Apr 19, 2024 · San Francisco, Ca
- J••• M••••• S••••••••• L•• wirehouseApr 9, 2024 to Apr 20, 2024 · San Francisco, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerAug 27, 2021 to Apr 22, 2024 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Aug 30, 2021 · San Francisco, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 7, 2008 to Oct 23, 2009 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Apr 22, 2024, registered Apr 9, 2024 (-13 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to M••••• S••••••left Apr 20, 2024, registered Apr 19, 2024 (-1 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Aug 30, 2021, registered Aug 27, 2021 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedApr 20, 2024 · 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address