DFX Intelligence
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Registered advisor
D•••• M•••••• S••••••
R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedPompano Beach, Fldual registrantIAPD 1390772
Feed of 09/14/2026
Also filed as D••• S••••••
At current firm
9 y
since Sep 26, 2016
In the industry
25 y
since Apr 10, 2001 (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
S65, 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•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Sep 26, 2016 · Pompano Beach, Fl
- T••••••• C•••••• M••••••••• unclassifiedJul 30, 2015 to Jun 29, 2018 · St. Louis, Me
- M••••• S•••••• wirehouseAug 28, 2014 to Apr 7, 2015 · St. Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 1, 2005 to Mar 31, 2009 · Clayton, Mo
- M••••• S•••••• D• I••• unclassifiedApr 10, 2001 to Feb 2, 2005 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- T••••••• C•••••• M••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 29, 2018, registered Sep 26, 2016 (-641 days) · Other
- M••••• S•••••• to T••••••• C•••••• M•••••••••left Apr 7, 2015, registered Jul 30, 2015 (114 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Mar 31, 2009, registered Aug 28, 2014 (1976 days) · Wirehouse to wirehouse
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 2, 2005, registered Feb 1, 2005 (-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
- 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