DFX Intelligence
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Registered advisor
C••••••••• F•••• M••••••
Feed of 09/15/2026
Also filed as C•••• M••••••••• M••••••••• M••••••
At current firm
1 y
since Jul 22, 2025
In the industry
29 y
since Nov 6, 1996 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Jul 22, 2025 · Springfield, Va
- M••••• S•••••• wirehouseSep 10, 2024 to Jul 14, 2025 · Bethesda, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 9, 2013 to Sep 3, 2024 · Washington, Dc
- W•••• F•••• A••••••• wirehouseFeb 21, 2012 to Jul 6, 2012 · Manassas, Va
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 27, 2010 to Feb 10, 2012 · Bethesda, Md
- T• A••••••••• I••• formerOct 27, 2010 to Feb 10, 2012 · Potomac, Md
- W•••• F•••• A••••••• wirehouseAug 25, 2008 to Dec 31, 2009 · Mclean, Va
- L•••••• F•••••••• D••••••••• I••• unclassifiedJul 13, 2007 to Jun 30, 2008 · Huntersville, Nc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMar 29, 2007 to Sep 24, 2007 · Arlington, Va
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to J••• M••••• S••••••••• L••left Jul 14, 2025, registered Jul 22, 2025 (8 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Sep 3, 2024, registered Sep 10, 2024 (7 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 6, 2012, registered Oct 9, 2013 (460 days) · Wirehouse to wirehouse
- T• A••••••••• I••••••••• M••••••••• L•• to W•••• F•••• A•••••••left Feb 10, 2012, registered Feb 21, 2012 (11 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 10, 2012, registered Oct 27, 2010 (-471 days) · channel change inside one enterprise, not a move
- W•••• F•••• A••••••• to T• A••••••••• I•••left Dec 31, 2009, registered Oct 27, 2010 (300 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- L•••••• F•••••••• D••••••••• I••• to W•••• F•••• A•••••••left Jun 30, 2008, registered Aug 25, 2008 (56 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•••••• F•••••••• D••••••••• I•••left Sep 24, 2007, registered Jul 13, 2007 (-73 days) · Other
Signals
- ••• LockedJul 14, 2025 · Advisor changed firm · fact
- ••• LockedSep 3, 2024 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address