DFX Intelligence
RIA Intelligence
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Registered advisor
M•• W•
Chartered Financial Analyst
Feed of 09/14/2026
At current firm
5 y
since Jun 29, 2021
In the industry
10 y
since Oct 28, 2015 (earliest exam, job or registration)
Prior registered firms
3
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• C••••• G••••• I••• no RAUM currentsince Jun 29, 2021 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 20, 2018 to Feb 9, 2021 · Los Angeles, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 20, 2017 to Nov 27, 2018 · Pasadena, Ca
- T• A••••••••• I••• formerMar 20, 2017 to Nov 27, 2018 · Pasadena, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• C••••• G••••• I•••left Feb 9, 2021, registered Jun 29, 2021 (140 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Nov 27, 2018, registered Mar 20, 2017 (-617 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 27, 2018, registered Mar 20, 2017 (-617 days) · Other
Signals
No dated event on this person.
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
- No RAUM reportedderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address