DFX Intelligence
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Registered advisor
C••••••••• M•••••• M•••••••••
Feed of 09/14/2026
Also filed as C••••••••• M• M••••••••• M•••••••••
At current firm
9 y
since Aug 7, 2017
In the industry
33 y
since Jul 19, 1993 (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
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Aug 7, 2017 · New Orleans, La
- F•• A•••••••• I••• unclassifiedJun 9, 2017 to Sep 25, 2017 · New Orleans, La
- F•• A•••••••• I••• unclassifiedOct 9, 2002 to Dec 31, 2002 · New Orleans, La
Moves
a registration end followed by a registration begin elsewhere
- F•• A•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 25, 2017, registered Aug 7, 2017 (-49 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address