DFX Intelligence
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Registered advisor
S••••• M•• O••••••
Feed of 09/14/2026
Also filed as S••••• M• O••••••
At current firm
5 y
since Apr 30, 2021
In the industry
11 y
since Jun 1, 2015 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
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••••••••• C•••••• M••••••••• BD affiliated currentsince Aug 15, 2025 · Newport Beach, Ca
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Apr 30, 2021 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 21, 2017 to May 11, 2021 · Weehawken, Nj
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R••••••••• C•••••• M•••••••••left May 11, 2021, registered Apr 30, 2021 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address