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
S••••• M••••••• M•••••••
Feed of 09/14/2026
Also filed as S••••• M••••••• W••••••••• M• W••••••••• M••••••• M••••••••• M• M•••••••
At current firm
12 y
since Mar 10, 2014
In the industry
35 y
since Aug 20, 1991 (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
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Mar 10, 2014 · Wilbraham, Ma
- C••••••••• F•••••••• N•••••• national BDApr 29, 2013 to Jan 14, 2014 · Agawam, Ma
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to N••••••••• M••••• I••••••••• S•••••••••left Jan 14, 2014, registered Mar 10, 2014 (55 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- No RAUM reportedderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address