DFX Intelligence
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Registered advisor
A••••• D• M•••••
Feed of 09/14/2026
At current firm
1 y
since Jun 4, 2025
In the industry
31 y
since Mar 15, 1995 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 4, 2025 · Sarasota, Fl
- W•••• F•••• A••••••• wirehouseJun 6, 2013 to Aug 9, 2024 · Boca Raton, Fl
- P•• W••••• M••••••••• BD affiliatedSep 10, 2009 to May 22, 2013 · Newark, De
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 19, 2006 to May 22, 2009 · Philadelphia, Pa
- P•• W••••• M••••••••• BD affiliatedJan 1, 2004 to Nov 30, 2006 · Philadelphia, Pa
- J••••• H•••••••• W••• L••••• L•• formerMay 28, 2003 to Jan 1, 2004 · Pittsburgh, Pa
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Aug 9, 2024, registered Jun 4, 2025 (299 days) · Wirehouse to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left May 22, 2013, registered Jun 6, 2013 (15 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left May 22, 2009, registered Sep 10, 2009 (111 days) · Other
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 30, 2006, registered Dec 19, 2006 (19 days) · Other
- J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedAug 9, 2024 · Advisor changed firm · fact
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