DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
M•••• A•••••• C•••••••
Feed of 09/14/2026
Also filed as M•••• A C•••••••
At current firm
7 y
since Mar 6, 2019
In the industry
11 y
since Nov 1, 2014 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 6, 2019 · Brentwood, Ca
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAJan 25, 2018 to Feb 25, 2019 · Pleasant Hill, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• O• O•••• I••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Feb 25, 2019, registered Mar 6, 2019 (9 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address