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••• S••••••
Feed of 09/14/2026
At current firm
6 y
since Oct 25, 2019
In the industry
29 y
since Jan 7, 1997 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- W•••• I••••••••• A•••••••• L•• other currentsince Oct 25, 2019 · Lebanon, Nj
- W•••• I••••••••• A•••••••• L•• otherAug 28, 2017 to Oct 3, 2019 · Morristown, Nj
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 24, 2016 to Aug 30, 2017 · M•••••••••, Nj
- M••••••••• W••••• M••••••••• L•• unclassifiedNov 10, 2009 to Nov 17, 2011 · M•••••••••, Nj
- L•• F•••••••• L•• BD affiliatedSep 18, 2008 to May 23, 2016 · M•••••••••, Nj
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJun 21, 2002 to Sep 19, 2008 · Murray Hill, Nj
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••• I••••••••• A•••••••• L••left Aug 30, 2017, registered Aug 28, 2017 (-2 days) · Other
- L•• F•••••••• L•• to M••••••••• W••••• M••••••••• L••left May 23, 2016, registered Nov 10, 2009 (-2386 days) · Other
- M••••••••• W••••• M••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 17, 2011, registered May 24, 2016 (1650 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Sep 19, 2008, registered Sep 18, 2008 (-1 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
- Other adviserderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address