DFX 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
D••••• M•••••• C•••••
Feed of 09/14/2026
Also filed as D••••• M•••• M••••••••• M•••• C••••••••• M•••• M••••••
At current firm
12 y
since Mar 24, 2014
In the industry
39 y
since Jan 12, 1987 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
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•••••••• L•• BD affiliated currentsince Mar 24, 2014 · Jacksonville, Fl
- C••• B•••••••• S•••••••• I••• formerFeb 12, 2008 to Mar 20, 2014 · St Augustine, Fl
Moves
a registration end followed by a registration begin elsewhere
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left Mar 20, 2014, registered Mar 24, 2014 (4 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address