DFX Intelligence
RIA Intelligence
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Registered advisor
M•••••• R••• R•••
Feed of 09/15/2026
At current firm
12 y
since Nov 20, 2013
In the industry
31 y
since Jun 6, 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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• I••••••••• I••• BD affiliated currentsince Nov 20, 2013 · Meriden, Ct
- H•••••• C•••••• A•••••••• L•• unclassifiedApr 27, 2006 to Nov 20, 2013 · Oxford, Ct
- O•••• I••••••••• I••• BD affiliatedMar 23, 2000 to Apr 27, 2006 · Naugatuck, Ct
Moves
a registration end followed by a registration begin elsewhere
- H•••••• C•••••• A•••••••• L•• to O•••• I••••••••• I•••left Nov 20, 2013, registered Nov 20, 2013 (0 days) · Other
- O•••• I••••••••• I••• to H•••••• C•••••• A•••••••• L••left Apr 27, 2006, registered Apr 27, 2006 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address