DFX Intelligence
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Registered advisor
A•••• M•••••
Feed of 09/14/2026
At current firm
3 y
since Feb 24, 2023
In the industry
15 y
since May 17, 2011 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
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•• F•••••••• S••••••• I••• wirehouse currentsince Feb 24, 2023 · Walnut Creek, Ca
- M••••• S•••••• wirehouseApr 26, 2018 to Mar 7, 2023 · Modesto, Ca
- W•••• F•••• A••••••• wirehouseJan 18, 2017 to Apr 3, 2018 · Modesto, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 16, 2016 to Jan 4, 2017 · Livermore, Ca
- M••••• S•••••• wirehouseDec 18, 2015 to Jun 24, 2016 · Pleasanton, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Mar 7, 2023, registered Feb 24, 2023 (-11 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M••••• S••••••left Apr 3, 2018, registered Apr 26, 2018 (23 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jan 4, 2017, registered Jan 18, 2017 (14 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 24, 2016, registered Jun 16, 2016 (-8 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedMar 7, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address