DFX Intelligence
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Registered advisor
D•••• M•••••• B•••••••
Feed of 09/15/2026
Also filed as D•••• L••• M••••••
At current firm
18 y
since Oct 29, 2007
In the industry
32 y
since Feb 18, 1994 (earliest exam, job or registration)
Prior registered firms
1
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 29, 2007 · Shelton, Ct
- A•• F•••••••• P••••••• S••••••• I•• unclassifiedJan 1, 1999 to Nov 7, 2007 · Baltimore, Md
Moves
a registration end followed by a registration begin elsewhere
- A•• F•••••••• P••••••• S••••••• I•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 7, 2007, registered Oct 29, 2007 (-9 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address