DFX Intelligence
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Registered advisor
M••••• P••••
Feed of 09/14/2026
Also filed as M••••• H• P••••
At current firm
1 y
since Aug 27, 2025
In the industry
12 y
since Nov 1, 2013 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Aug 27, 2025 · Irvine, Ca
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Jun 12, 2025 · Las Vegas, Nv
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 4, 2024 to Mar 31, 2025 · Brea, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedSep 2, 2021 to Mar 28, 2024 · Las Vegas, Nv
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 18, 2020 to Aug 4, 2021 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to J••• M••••• S••••••••• L••left Jun 12, 2025, registered Aug 27, 2025 (76 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- A••••• A•• P••••••• S••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 28, 2024, registered Oct 4, 2024 (190 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••left Aug 4, 2021, registered Sep 2, 2021 (29 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedJun 12, 2025 · Advisor changed firm · fact
- ••• LockedMar 28, 2024 · 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address