DFX Intelligence
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Registered advisor
M••••• Y• Y•••
Feed of 09/14/2026
Also filed as M••••• Y• Y•••
At current firm
0 y
since Jun 3, 2026
In the industry
13 y
since Dec 1, 2012 (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
3
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jun 3, 2026 · Costa Mesa, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDAug 6, 2024 to Aug 22, 2024 · Newport Beach, Ca
- P••• A••••• S••••••••• L•• BD affiliatedJul 31, 2023 to Oct 19, 2023 · Irvine, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJun 3, 2019 to Feb 6, 2023 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Aug 22, 2024, registered Jun 3, 2026 (650 days) · Affiliated broker-dealer or bank to another
- P••• A••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 19, 2023, registered Aug 6, 2024 (292 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Feb 6, 2023, registered Jul 31, 2023 (175 days) · Affiliated broker-dealer or bank to another
Signals
- M••••• Y• Y••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2026-06-03)Aug 22, 2024 · Advisor changed firm · fact
- M••••• Y• Y••• left P••• A••••• S••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-08-06)Oct 19, 2023 · Advisor changed firm · fact
- M••••• Y• Y••• left A••••••••• F•••••••• S•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2023-07-31)Feb 6, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address