DFX Intelligence
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Registered advisor
M•••••• A•••••••• L•••••
Feed of 09/14/2026
At current firm
10 y
since Sep 21, 2016
In the industry
23 y
since Jan 7, 2003 (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, 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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 21, 2016 · Midlothian, Va
- W•••• F•••• A••••••• wirehouseSep 9, 2011 to May 10, 2013 · Deerfield, Il
- W•••• F•••• A••••••• wirehouseJun 9, 2009 to Sep 19, 2011 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left May 10, 2013, registered Sep 21, 2016 (1230 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Sep 19, 2011, registered Sep 9, 2011 (-10 days) · channel change inside one enterprise, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address