DFX Intelligence
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Registered advisor
M•••••• A••••
Feed of 09/14/2026
Also filed as M•••••• A••••••••• F•••••••• A••••
At current firm
2 y
since Jan 24, 2024
In the industry
14 y
since Aug 1, 2012 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
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
- W•••• F•••• A••••••• wirehouse currentsince Jan 24, 2024 · Petaluma, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 3, 2019 to Jan 25, 2024 · Santa Rosa, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jan 25, 2024, registered Jan 24, 2024 (-1 days) · Wirehouse to wirehouse
Signals
- ••• LockedJan 25, 2024 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address