DFX Intelligence
RIA 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
M••• B•••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
6 y
since Mar 13, 2020
In the industry
34 y
since Jan 30, 1992 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- W•••• F•••• A••••••• wirehouse currentsince Mar 13, 2020 · New York, Ny
- M••••• S•••••• wirehouseMay 13, 2011 to Feb 7, 2020 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerAug 15, 1997 to May 13, 2011 · Brooklyn, Ny
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to W•••• F•••• A•••••••left Feb 7, 2020, registered Mar 13, 2020 (35 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to M••••• S••••••left May 13, 2011, registered May 13, 2011 (0 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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address