DFX Intelligence
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Registered advisor
C•••••• M•••••• S••••••
Feed of 09/14/2026
Also filed as C••••• S••••••••• S••••••••• M•••••• S••••••••• S••••••
At current firm
6 y
since Feb 25, 2020
In the industry
29 y
since Apr 7, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Feb 25, 2020 · Radnor, Pa
- V••••••• A•••••••• I••• BD affiliatedSep 25, 2018 to Mar 22, 2019 · Malvern, Pa
- S•••••• F•••••••• P•••••••• L•• unclassifiedJan 25, 2010 to Mar 11, 2010
- S•••••••• A••••••• L•• national BDJul 21, 2008 to Feb 19, 2009 · Philadelphia, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 17, 2004 to Aug 4, 2004 · Pennington, Nj
Moves
a registration end followed by a registration begin elsewhere
- V••••••• A•••••••• I••• to A••••• A•• P••••••• S•••••••left Mar 22, 2019, registered Feb 25, 2020 (340 days) · Affiliated broker-dealer or bank to another
- S•••••• F•••••••• P•••••••• L•• to V••••••• A•••••••• I•••left Mar 11, 2010, registered Sep 25, 2018 (3120 days) · Other
- S•••••••• A••••••• L•• to S•••••• F•••••••• P•••••••• L••left Feb 19, 2009, registered Jan 25, 2010 (340 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Aug 4, 2004, registered Jul 21, 2008 (1447 days) · Wirehouse to affiliated broker-dealer or bank
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address