DFX Intelligence
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Registered advisor
M••••••• M•••••
Feed of 09/14/2026
Also filed as M••••• W••••••••• W•••••
At current firm
8 y
since Nov 17, 2017
In the industry
31 y
since Jun 9, 1995 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
4
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
- C••• P•••••• W••••• A•••••••• I••• BD affiliated currentsince Nov 17, 2017 · Chicago, Il
- G••••• A•••••••• L•• formerJun 25, 2007 to Sep 1, 2017 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- G••••• A•••••••• L•• to C••• P•••••• W••••• A•••••••• I•••left Sep 1, 2017, registered Nov 17, 2017 (77 days) · corporate re-registration, not a move
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