DFX Intelligence
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Registered advisor
M••• C• P••••••
Feed of 09/15/2026
Also filed as M••• C•••••• P••••••
At current firm
15 y
since Apr 7, 2011
In the industry
35 y
since Feb 7, 1991 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
4
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
- P••• A••••• S••••••••• L•• BD affiliated currentsince Apr 7, 2011 · Glenview, Il
- S••••••• F•••••••• S•••••••• I••• formerApr 9, 2003 to Jan 4, 2011 · Downers Grove, Il
- P•••• S••••••••• L•• no RAUMJun 19, 2002 to Apr 3, 2003 · Mayfield Heights, Oh
Moves
a registration end followed by a registration begin elsewhere
- S••••••• F•••••••• S•••••••• I••• to P••• A••••• S••••••••• L••left Jan 4, 2011, registered Apr 7, 2011 (93 days) · Other
- P•••• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Apr 3, 2003, registered Apr 9, 2003 (6 days) · Other
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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address