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•••••••• W•••••••••
Feed of 09/15/2026
At current firm
4 y
since Apr 13, 2022
In the industry
10 y
since Jul 1, 2016 (earliest exam, job or registration)
Prior registered firms
1
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Apr 13, 2022 · Irvine, Ca
- P•••• S••••••••• L•• no RAUMOct 11, 2021 to Mar 3, 2022 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to W•••• F•••• A•••••••left Mar 3, 2022, registered Apr 13, 2022 (41 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- M•••••••• W••••••••• left P•••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2022-04-13)Mar 3, 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address