DFX Intelligence
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Registered advisor
M••• R•••••• W•••••
Feed of 09/14/2026
Also filed as M••• R• W••••••••• W•••••
At current firm
0 y
since Nov 18, 2025
In the industry
37 y
since Sep 28, 1988 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 18, 2025 · Erie, Pa
- O•••• W•••••• I••• BD affiliatedJun 14, 2024 to Nov 21, 2025 · Erie, Pa
- S••••••••• A•••••• A•••••••• I••• formerSep 27, 2019 to Jun 14, 2024 · Erie, Pa
- C••••••• S••••••••• I••• BD affiliatedAug 23, 2012 to Aug 1, 2019 · Erie, Pa
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Aug 20, 2012 · Erie, Pa
- N•••••• I••••••••• I••• unclassifiedMar 10, 2006 to Nov 13, 2009 · Fairview, Pa
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 21, 2025, registered Nov 18, 2025 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- C••••••• S••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Aug 1, 2019, registered Sep 27, 2019 (57 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to C••••••• S••••••••• I•••left Aug 20, 2012, registered Aug 23, 2012 (3 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedNov 21, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address