DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
M•••••• N••••••• M•••••••
Feed of 09/14/2026
Also filed as M•••••• N• M••••••••• M••••••••• N••••••• M••••••••• N••••••• M•••••••
At current firm
0 y
since Feb 13, 2026
In the industry
16 y
since Oct 24, 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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · San Diego, Ca
- U••• B•••••• I••••••••• I••• formerAug 1, 2023 to Feb 13, 2026 · San Diego, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 16, 2021 to Aug 1, 2023 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 13, 2015 to Oct 11, 2021 · San Diego, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerAug 5, 2014 to Apr 2, 2015 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- F••••••• P••••••• A•• W•••••••• A••••••• to U••• B•••••• I••••••••• I•••left Aug 1, 2023, registered Aug 1, 2023 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 11, 2021, registered Nov 16, 2021 (36 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 2, 2015, registered Apr 13, 2015 (11 days) · Other
Signals
- ••• LockedAug 1, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address