DFX Intelligence
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Registered advisor
D••••• A• M•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as D••••• A•••••••• M•••••
At current firm
1 y
since Mar 31, 2025
In the industry
15 y
since Aug 18, 2011 (earliest exam, job or registration)
Prior registered firms
5
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · El Segundo, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 26, 2022 to Mar 31, 2025 · El Segundo, Ca
- W•••• F•••• A••••••• wirehouseAug 3, 2015 to Mar 18, 2022 · Walnut Creek, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Aug 12, 2015 · Walnut Creek, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 16, 2012 to Oct 1, 2012 · Walnut Creek, Ca
- M••••• S•••••• wirehouseAug 19, 2011 to May 2, 2012 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 18, 2022, registered Apr 26, 2022 (39 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Aug 12, 2015, registered Aug 3, 2015 (-9 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to C•••• I••••••••• S••••••• C••••left May 2, 2012, registered May 16, 2012 (14 days) · Other
Signals
- ••• LockedMar 18, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address