DFX Intelligence
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Registered advisor
A•••• M••••••• N•••
Feed of 09/15/2026
Also filed as A•••• M••••••• P••••••••• M••••••• H••••••••• M••••••• P••••••••• M••••••• H•••••
At current firm
1 y
since Jan 1, 2025
In the industry
34 y
since Jul 23, 1992 (earliest exam, job or registration)
Prior registered firms
4
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
- L•• F•••••••• L•• BD affiliated currentsince Jan 1, 2025 · Fort Mill, Sc
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerApr 6, 2016 to Oct 9, 2017 · Appleton, Wi
- I••••• F•••••••• C••••••••• formerApr 1, 2016 to Oct 9, 2017 · Appleton, Wi
- I••••••••• C•••••• O• A••••••• I••• formerApr 1, 2016 to Oct 10, 2017 · Aberdeen, Sd
- S•• I••••••••• I••• formerSep 7, 2001 to Oct 9, 2017 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- I••••••••• C•••••• O• A••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Oct 10, 2017, registered Apr 6, 2016 (-552 days) · channel change inside one enterprise, not a move
- I••••• F•••••••• C••••••••• to I••••••••• C•••••• O• A••••••• I•••left Oct 9, 2017, registered Apr 1, 2016 (-556 days) · channel change inside one enterprise, not a move
- S•• I••••••••• I••• to I••••• F•••••••• C•••••••••left Oct 9, 2017, registered Apr 1, 2016 (-556 days) · channel change inside one enterprise, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Oct 9, 2017, registered Jan 1, 2025 (2641 days) · Other · moved with a team
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address