DFX Intelligence
RIA Intelligence
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Registered advisor
C•••• M•••••• F•••••
Feed of 09/14/2026
Also filed as C•••• F•••••
At current firm
4 y
since Sep 22, 2022
In the industry
17 y
since Aug 1, 2009 (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
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
- L•• F•••••••• L•• BD affiliated currentsince Sep 22, 2022 · Mammoth Lakes, Ca
- W•••• F•••• A••••••• wirehouseApr 2, 2021 to Sep 27, 2022 · Mammoth Lakes, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Sep 27, 2022, registered Sep 22, 2022 (-5 days) · Wirehouse to independent RIA · moved with a team
Signals
- C•••• M•••••• F••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2022-09-22)Sep 27, 2022 · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address