DFX Intelligence
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Registered advisor
S•••••• N••••• M••••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as S•••• M••••••••• N••••• M••••••••• N• M••••••
At current firm
22 y
since Jan 1, 2004
In the industry
41 y
since Aug 19, 1985 (earliest exam, job or registration)
Prior registered firms
4
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
- L••••• F•••••••• S••••••••• I••• state registered currentsince Jan 1, 2004 · Manchester, Nh
- I•••••••• C•••••• A••••••• formerJul 17, 2007 to Dec 31, 2007 · Manchester, Nh
- L••••• A••••••• S•••••••• I••• unclassifiedAug 28, 2003 to Jul 16, 2007 · Manchester, Nh
- L••••• F•••••••• S••••••••• I••• state registeredApr 2, 1998 to Dec 31, 2002 · Manchester, Nh
- L••••• F•••••••• S••••••••• I••• state registeredApr 2, 1998 to Dec 31, 2003
Moves
a registration end followed by a registration begin elsewhere
- I•••••••• C•••••• A••••••• to no registered destinationleft Dec 31, 2007 · Departure, no registered destination
- L••••• A••••••• S•••••••• I••• to L••••• F•••••••• S••••••••• I•••left Jul 16, 2007, registered Jan 1, 2004 (-1292 days) · Other
- L••••• F•••••••• S••••••••• I••• to L••••• A••••••• S•••••••• I•••left Dec 31, 2003, registered Aug 28, 2003 (-125 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
- STATE REGISTEREDderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address