DFX Intelligence
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Registered advisor
M•••• R••• P••••
Feed of 09/14/2026
At current firm
5 y
since Nov 17, 2020
In the industry
18 y
since Jun 6, 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
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Nov 17, 2020 · Sacramento, Ca
- W•••• F•••• A••••••• wirehouseJun 1, 2010 to Nov 19, 2020 · Santa Rosa, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJun 9, 2008 to May 28, 2010 · Elk Grove, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R••••• W• B•••• • C•• I•••••••••left Nov 19, 2020, registered Nov 17, 2020 (-2 days) · Wirehouse to independent RIA
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left May 28, 2010, registered Jun 1, 2010 (4 days) · Other
Signals
No dated event on this person.
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address