DFX Intelligence
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Registered advisor
M•••••• D••••• C•••••
Feed of 09/14/2026
Also filed as M•••••• D• C••••••••• C•••••
At current firm
1 y
since Mar 31, 2025
In the industry
11 y
since Jul 1, 2015 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
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 · Reno, Nv
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 22, 2024 to Mar 31, 2025 · Reno, Nv
- C•••••• S••••• • C••• I••• national BDOct 16, 2023 to Feb 13, 2024 · Lone Tree, Co
- S••••• W••••• A•••••••• I••• no RAUMJul 6, 2021 to Oct 19, 2023 · Lone Tree, Co
- L•• F•••••••• L•• BD affiliatedJul 24, 2018 to May 24, 2021 · Woodland Hills, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDAug 10, 2017 to Apr 27, 2018 · Calabasas, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMay 31, 2017 to Aug 4, 2017 · Woodland Hills, 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
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 13, 2024, registered Apr 22, 2024 (69 days) · Affiliated broker-dealer or bank to another
- S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Oct 19, 2023, registered Oct 16, 2023 (-3 days) · channel change inside one enterprise, not a move
- L•• F•••••••• L•• to S••••• W••••• A•••••••• I•••left May 24, 2021, registered Jul 6, 2021 (43 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Apr 27, 2018, registered Jul 24, 2018 (88 days) · Affiliated broker-dealer or bank to independent RIA
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to A••••••••• F•••••••• S•••••••• L••left Aug 4, 2017, registered Aug 10, 2017 (6 days) · Other
Signals
- ••• LockedFeb 13, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address