DFX Intelligence
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Registered advisor
S•••••• M• M••••••
Feed of 09/14/2026
Also filed as S•••••• P••••••••• M•••• Y••••••••• Y••••••••• M••••••••• M•••• P•••••
At current firm
9 y
since Jun 23, 2017
In the industry
46 y
since Dec 17, 1979 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 23, 2017 · Honolulu, Hi
- U•• F•••••••• S••••••• I••• wirehouseJun 29, 2007 to Jul 5, 2017 · Honolulu, Hi
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 25, 2005 to Jul 7, 2007 · Honolulu, Hi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 7, 2000 to Oct 10, 2002 · Pueblo, Co
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jul 5, 2017, registered Jun 23, 2017 (-12 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Jul 7, 2007, registered Jun 29, 2007 (-8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Oct 10, 2002, registered Mar 25, 2005 (897 days) · Other
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address