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
M••• S•••••• B•••••
Feed of 09/15/2026
At current firm
3 y
since Aug 29, 2023
In the industry
39 y
since Jan 29, 1987 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Aug 29, 2023 · Dewitt, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 10, 2022 to Sep 6, 2023 · Brooklyn, Ny
- W•••• F•••• A••••••• wirehouseJun 8, 2015 to Jan 11, 2022 · Williamsville, Ny
- M••••• S•••••• wirehouseMar 26, 2010 to May 28, 2015 · Dewitt, Ny
- U•• F•••••••• S••••••• I••• wirehouseJan 25, 2010 to Mar 19, 2010 · Buffalo, Ny
- L•• F•••••••• L•• BD affiliatedFeb 16, 1996 to Feb 27, 2008 · New Hartford, Ny
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••• F•••• A•••••••left Sep 6, 2023, registered Aug 29, 2023 (-8 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 11, 2022, registered Jan 10, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left May 28, 2015, registered Jun 8, 2015 (11 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Mar 19, 2010, registered Mar 26, 2010 (7 days) · Wirehouse to wirehouse
- L•• F•••••••• L•• to U•• F•••••••• S••••••• I•••left Feb 27, 2008, registered Jan 25, 2010 (698 days) · Other
Signals
- M••• S•••••• B••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for W•••• F•••• A••••••• (registered 2023-08-29)Sep 6, 2023 · Advisor changed firm · fact
- M••• S•••••• B••••• left W•••• F•••• A••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-01-10)Jan 11, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address