DFX Intelligence
RIA Intelligence
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Registered advisor
M••• T••••• C•••••
Feed of 09/14/2026
At current firm
16 y
since May 21, 2010
In the industry
36 y
since Nov 22, 1989 (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
- R•• C•••••• M••••••• L•• national BD currentsince May 21, 2010 · Wilmington, De
- D••••••• B••• S••••••••• I••• no RAUMMar 5, 2007 to May 28, 2010 · Philadelphia, Pa
Moves
a registration end followed by a registration begin elsewhere
- D••••••• B••• S••••••••• I••• to R•• C•••••• M••••••• L••left May 28, 2010, registered May 21, 2010 (-7 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
- National broker-dealer RIAderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address