DFX Intelligence
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Registered advisor
M•••••• C••• F•••••••
Feed of 09/14/2026
At current firm
11 y
since Jul 2, 2015
In the industry
33 y
since Jan 11, 1993 (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
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
- W•••• F•••• A••••••• wirehouse currentsince Jul 2, 2015 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedJun 21, 2006 to Jul 16, 2015 · New York, Ny
- Q•••• • R•••••• I••• unclassifiedMay 25, 2004 to Oct 18, 2004 · Hartford, Ct
Moves
a registration end followed by a registration begin elsewhere
- H••• S••••••••• •••• I••• to W•••• F•••• A•••••••left Jul 16, 2015, registered Jul 2, 2015 (-14 days) · Other
- Q•••• • R•••••• I••• to H••• S••••••••• •••• I•••left Oct 18, 2004, registered Jun 21, 2006 (611 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address