DFX Intelligence
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Registered advisor
P•••••• M• D••••
Feed of 09/14/2026
At current firm
11 y
since Oct 31, 2014
In the industry
34 y
since Feb 6, 1992 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Oct 31, 2014 · West Chester, Pa
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 13, 2014 · Newtown Square, Pa
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · West Chester, Pa
- M••••• S•••••• D• I••• unclassifiedApr 13, 2006 to Apr 2, 2007 · West Chester, Pa
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 13, 2014, registered Oct 31, 2014 (-13 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address