DFX Intelligence
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Registered advisor
M••• S••••• B•••••••
Feed of 09/14/2026
Also filed as M••• S• B•••••••
At current firm
3 y
since Jul 20, 2023
In the industry
33 y
since Feb 26, 1993 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Jul 20, 2023 · Rye Brook, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 16, 2014 to Jul 21, 2023 · New York, Ny
- M••••• S•••••• wirehouseOct 10, 2013 to Oct 1, 2014 · Little Falls, Nj
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jul 21, 2023, registered Jul 20, 2023 (-1 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 1, 2014, registered Sep 16, 2014 (-15 days) · Wirehouse to wirehouse
Signals
- ••• LockedJul 21, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address