DFX Intelligence
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Registered advisor
S•••• M•••••••
Feed of 09/15/2026
At current firm
10 y
since Mar 21, 2016
In the industry
17 y
since Nov 21, 2008 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- H•••••••• A•••••••• L•• BD affiliated currentsince Mar 21, 2016 · Chicago, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 11, 2016 · Newport Beach, Ca
- M••••• S•••••• • C•• L•• unclassifiedNov 24, 2008 to Jun 1, 2009 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to H•••••••• A•••••••• L••left Apr 11, 2016, registered Mar 21, 2016 (-21 days) · Other · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address