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••• L••••

C•••••••• G••••• M•••••• I•••BD affiliatedCastro Valley, Ca dual registrantIAPD 7893188

Feed of 09/22/2026

Also filed as M••• H••• N••••••••• L••••••••• H••• L••••••••• H• L••••

At current firm

0 y

since Sep 21, 2026

In the industry

12 y

since Sep 1, 2014 (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

3

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• G••••• M•••••• I••• BD affiliated current
since Sep 21, 2026 · Castro Valley, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Aug 20, 2024 · San Francisco, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 20, 2024 to Sep 14, 2026 · San Luis Obispo, Ca

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••
left Sep 14, 2026, registered Sep 21, 2026 (7 days) · Wirehouse to affiliated broker-dealer or bank

Signals

••• Locked
Sep 21, 2026 · Advisor registered · fact
••• Locked
Sep 14, 2026 · Advisor changed firm · fact
••• Locked
Sep 14, 2026 · Advisor registration ended · derived

Transition signals

Mobility scoring is not published yet.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address