DFX Intelligence
RIA Intelligence
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Registered advisor
M••• R•••• R•••••
Feed of 09/15/2026
At current firm
7 y
since Jan 31, 2019
In the industry
30 y
since Jul 2, 1996 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 31, 2019 · Kewadin, Mi
- S•••••••• I••••••••• M••••••••• formerJun 1, 2017 to Mar 8, 2018 · St. Petersburg, Fl
- I••••• F•••••••• C••••••••• formerMar 8, 2006 to Dec 11, 2007 · Appleton, Wi
- T• A••••••••• I••• formerJul 7, 2003 to Feb 1, 2006 · St Petersburg, Fl
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• I••••••••• M••••••••• to R•••••• J•••• • A••••••••• I•••left Mar 8, 2018, registered Jan 31, 2019 (329 days) · Affiliated broker-dealer or bank to another · moved with a team
- I••••• F•••••••• C••••••••• to S•••••••• I••••••••• M•••••••••left Dec 11, 2007, registered Jun 1, 2017 (3460 days) · Other
- T• A••••••••• I••• to I••••• F•••••••• C•••••••••left Feb 1, 2006, registered Mar 8, 2006 (35 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address