DFX Intelligence
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Registered advisor
D•••• B•••• M•••
Feed of 09/14/2026
At current firm
9 y
since May 4, 2017
In the industry
25 y
since Nov 20, 2000 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••••• M••••••••• S•••• L•• BD affiliated currentsince May 4, 2017 · Fairfield, Ct
- W•••• F•••• A••••••• wirehouseNov 4, 2004 to May 3, 2017 · Winston Salem, Nc
- M••••• S•••••• D• I••• unclassifiedFeb 15, 2002 to Nov 1, 2004 · Danbury, Ct
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••left May 3, 2017, registered May 4, 2017 (1 days) · Other · moved with a team
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Nov 1, 2004, registered Nov 4, 2004 (3 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address