DFX Intelligence
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Registered advisor
R•• M•••••• C••••••
Chartered Financial Consultant
Feed of 09/14/2026
At current firm
6 y
since Mar 4, 2020
In the industry
43 y
since Oct 22, 1982 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- T•• A•••••••• I••• BD affiliated currentsince Mar 4, 2020 · Summit, Nj
- S••••••••• A•••••• A•••••••• I••• formerApr 21, 2005 to Apr 24, 2007 · Atlanta, Ga
- F•• S••••••••• C••••••••• formerSep 10, 2003 to Apr 13, 2005 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to T•• A•••••••• I•••left Apr 24, 2007, registered Mar 4, 2020 (4698 days) · Other
- F•• S••••••••• C••••••••• to S••••••••• A•••••• A•••••••• I•••left Apr 13, 2005, registered Apr 21, 2005 (8 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address