DFX Intelligence
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M•••••• C• B•••••••••
As of · the IAPD feed; also filed as M•••••• C•••••• B••••••••• C• B•••••••••
- At current firm
- 1 y
- In the industry
- 15 y
- Prior registered firms
- 2
- Signals
- 1
since Oct 4, 2024
As of · the IAPD feed; also filed as M•••••• C•••••• B••••••••• C• B•••••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Oct 4, 2024 · New York, Ny
- W•••• F•••• A••••••• wirehouseApr 1, 2021 to Aug 12, 2024 · St. Louis, Mo
- J••• M••••• S••••••••• L•• wirehouseJul 26, 2018 to Sep 15, 2020 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Aug 12, 2024, registered Oct 4, 2024 (53 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Sep 15, 2020, registered Apr 1, 2021 (198 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedAug 12, 2024 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address