DFX Intelligence
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Registered advisor
N•••• M•••• N••
Feed of 09/14/2026
Also filed as N•••• M•••• S••••••••• M•••• J••••••••• M• N••
At current firm
0 y
since Jan 14, 2026
In the industry
16 y
since Nov 11, 2009 (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
- W•••• F•••• A••••••• wirehouse currentsince Jan 14, 2026 · Newport Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 7, 2016 to Jan 15, 2026 · Newport Beach, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 21, 2012 to Feb 1, 2016 · Irvine, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 1, 2010 to Jul 9, 2012 · Sacramento, Ca
- M••••• S•••••• wirehouseNov 19, 2009 to Oct 22, 2010 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jan 15, 2026, registered Jan 14, 2026 (-1 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 1, 2016, registered Jan 7, 2016 (-25 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Oct 22, 2010, registered Oct 1, 2010 (-21 days) · Wirehouse to wirehouse
Signals
- ••• LockedJan 15, 2026 · 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address