DFX Intelligence
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Registered advisor
D••••••• M••••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
4 y
since Aug 22, 2022
In the industry
37 y
since Oct 1, 1988 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 22, 2022 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseApr 14, 2008 to Sep 1, 2022 · New York, Ny
- W•••• F•••• A••••••• wirehouseJun 26, 2001 to Feb 6, 2008 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Sep 1, 2022, registered Aug 22, 2022 (-10 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Feb 6, 2008, registered Apr 14, 2008 (68 days) · Wirehouse to wirehouse
Signals
- ••• LockedSep 1, 2022 · Advisor changed firm · fact
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address