DFX Intelligence
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Registered advisor
M•• T••• T•••
Feed of 09/15/2026
At current firm
2 y
since Aug 20, 2024
In the industry
12 y
since Jul 1, 2014 (earliest exam, job or registration)
Prior registered firms
2
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Aug 20, 2024 · Walnut Creek, Ca
- E••••• J•••• national BDJun 9, 2023 to Aug 20, 2024 · Fremont, Ca
- W•••• F•••• A••••••• wirehouseDec 5, 2014 to Aug 2, 2022 · San Leandro, Ca
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to W•••• F•••• A•••••••left Aug 20, 2024, registered Aug 20, 2024 (0 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to E••••• J••••left Aug 2, 2022, registered Jun 9, 2023 (311 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- ••• LockedAug 20, 2024 · Advisor changed firm · fact
- ••• LockedAug 2, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address