DFX Intelligence
RIA 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
R••••• M••• A•••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as R••••• A•••••
At current firm
6 y
since Jul 31, 2020
In the industry
23 y
since Feb 1, 2003 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 31, 2020 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 21, 2017 to Jul 24, 2020 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedDec 17, 2015 to Sep 19, 2017 · New York, Ny
- M•• F•••••••• S•••••••• I••• formerApr 5, 2013 to Nov 24, 2015 · New York, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDJan 8, 2007 to Mar 28, 2013 · Red Bank, Nj
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jul 24, 2020, registered Jul 31, 2020 (7 days) · Affiliated broker-dealer or bank to another
- H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••left Sep 19, 2017, registered Sep 21, 2017 (2 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to H••• S••••••••• •••• I•••left Nov 24, 2015, registered Dec 17, 2015 (23 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Mar 28, 2013, registered Apr 5, 2013 (8 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address