DFX Intelligence
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Registered advisor
M•••••• R••••• M•••••
Feed of 09/15/2026
At current firm
6 y
since Mar 9, 2020
In the industry
30 y
since Oct 30, 1995 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
12
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
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Mar 9, 2020 · Fort Lauderdale, Fl
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 19, 2012 to Feb 5, 2020 · Radnor, Pa
- T• A••••••••• I••• formerNov 19, 2012 to Feb 5, 2020 · Radnor, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Oct 25, 2012 · Pennington, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Oct 23, 2009 · E. Brunswick, Nj
- Q•••• • R•••••• I••• unclassifiedNov 25, 2002 to Oct 20, 2004 · East Brunswick, Nj
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Feb 5, 2020, registered Nov 19, 2012 (-2634 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 5, 2020, registered Nov 19, 2012 (-2634 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Oct 25, 2012, registered Nov 19, 2012 (25 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address