DFX Intelligence
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Registered advisor
B•••• W•••••• L•••••••
Feed of 09/15/2026
At current firm
5 y
since Jun 29, 2021
In the industry
22 y
since Mar 8, 2004 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S66, S63, S65
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••••••••• C•••••• M••••••••• BD affiliated currentsince Sep 19, 2025 · Stamford, Ct
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Jun 29, 2021 · Stamford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 6, 2010 to Oct 4, 2011 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Nov 13, 2009 · Atlanta, Ga
- J••• M••••• S••••••••• I••• unclassifiedNov 16, 2006 to Oct 1, 2008 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerAug 4, 2006 to Nov 17, 2006 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••••• C•••••• M•••••••••left Oct 4, 2011, registered Jun 29, 2021 (3556 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 13, 2009, registered Oct 6, 2010 (327 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• I•••left Nov 17, 2006, registered Nov 16, 2006 (-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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address