DFX Intelligence
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Registered advisor
L••••• A•• M••••••
Feed of 09/15/2026
Also filed as L••••• A•• M••••••••• A•• M••••••••• A•• M••••••••• A•• M• N••••
At current firm
2 y
since Aug 8, 2024
In the industry
39 y
since Jan 28, 1987 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Aug 8, 2024 · Conshohocken, Pa
- M••••• S•••••• wirehouseMar 19, 2015 to Aug 14, 2024 · West Conshohocken, Pa
- W•••• F•••• A••••••• wirehouseMay 19, 2010 to Mar 20, 2015 · Conshohocken, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 21, 2003 to May 21, 2010 · Blue Bell, Pa
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•• C•••••• M••••••• L••left Aug 14, 2024, registered Aug 8, 2024 (-6 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M••••• S••••••left Mar 20, 2015, registered Mar 19, 2015 (-1 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left May 21, 2010, registered May 19, 2010 (-2 days) · Wirehouse to wirehouse
Signals
- ••• LockedAug 14, 2024 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address