DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A•••• M•••••• M•••••••
Feed of 09/14/2026
Also filed as A•••• M•••••• M••••••••• E•••••••• M••••••••• E•••••••• M•••••• M••••••••• M•••••• M••••••••• M•••••• M•••••••
At current firm
9 y
since Oct 17, 2016
In the industry
31 y
since Apr 4, 1995 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 17, 2016 · Hampstead, Md
- L•• F•••••••• L•• BD affiliatedJun 13, 2011 to Nov 2, 2016 · Towson, Md
- A••••• A•• P••••••• S••••••• BD affiliatedMay 21, 2009 to Jun 3, 2011 · Pasadena, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Nov 2, 2016, registered Oct 17, 2016 (-16 days) · Other · moved with a team
- A••••• A•• P••••••• S••••••• to L•• F•••••••• L••left Jun 3, 2011, registered Jun 13, 2011 (10 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address