DFX Intelligence
RIA Intelligence
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Registered advisor
M••• E••••• N••••••
Feed of 09/14/2026
At current firm
9 y
since Jun 30, 2017
In the industry
38 y
since Jan 13, 1988 (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, 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
- C•••••• A••••••• S•••••••• L•• state registered currentsince Jun 30, 2017 · Daytona Beach, Fl
- H••••• I••••••••• M••••••••• L•• independent RIAJun 21, 2016 to Mar 21, 2017 · Naples, Fl
Moves
a registration end followed by a registration begin elsewhere
- H••••• I••••••••• M••••••••• L•• to C•••••• A••••••• S•••••••• L••left Mar 21, 2017, registered Jun 30, 2017 (101 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
- STATE REGISTEREDderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address