DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

M•••••• M•••••

S•••••••• A••••••• L••national BDAnnandale, Njdual registrantIAPD 2763097

Feed of 09/14/2026

Also filed as M•••••• Kenneth M•••••

At current firm

1 y

since Mar 31, 2025

In the industry

24 y

since Aug 9, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Annandale, Nj
F••••••• P••••••• A•• W•••••••• A••••••• former
May 22, 2023 to Mar 31, 2025 · Annandale, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 3, 2018 to Jan 17, 2023 · Pennington, Nj
S••••••• I••••••••• I••• former
Apr 29, 2015 to Nov 16, 2015 · Parsippany, Nj
N•• Y••• L••• I••••••••• M••••••••• L•• asset manager
Feb 13, 2008 to Apr 15, 2015 · New Y•••, Ny
E•••• S••••••••• L•• BD affiliated
Sep 26, 2007 to Feb 11, 2008 · Parsippany, Nj
N•• Y••• L••• I••••••••• M••••••••• L•• asset manager
Jan 31, 2005 to Oct 27, 2006 · Parsippany, Nj

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jan 17, 2023, registered May 22, 2023 (125 days) · Wirehouse to affiliated broker-dealer or bank
S••••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 16, 2015, registered Apr 3, 2018 (869 days) · Other
N•• Y••• L••• I••••••••• M••••••••• L•• to S••••••• I••••••••• I•••
left Apr 15, 2015, registered Apr 29, 2015 (14 days) · Other · moved with a team
E•••• S••••••••• L•• to N•• Y••• L••• I••••••••• M••••••••• L••
left Feb 11, 2008, registered Feb 13, 2008 (2 days) · Other
N•• Y••• L••• I••••••••• M••••••••• L•• to E•••• S••••••••• L••
left Oct 27, 2006, registered Sep 26, 2007 (334 days) · Other

Signals

M•••••• M••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-05-22)
Jan 17, 2023 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address