DFX Intelligence
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Registered advisor
M••••••• C• S•••••
Feed of 09/15/2026
Also filed as M••••••• C•••••••• F••••••••• C• S••••••••• C•••••••• S•••••
At current firm
1 y
since Jan 29, 2025
In the industry
29 y
since Dec 19, 1996 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Southampton, Nj
- A•••••• P••••••• P•••••••• I••• BD affiliated currentsince Jan 29, 2025 · Southampton, Nj
- A•••••• A••••••• S••••••• formerSep 15, 2022 to Sep 5, 2025 · Dallas, Tx
- E•••••••• A•••••••• L•• national BDSep 14, 2010 to Sep 8, 2022 · Bala Cynwyd, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDOct 18, 2006 to Jul 13, 2010 · Conshohocken, Pa
- T• W••••• M••••••••• S••••••• I••• unclassifiedMar 4, 2003 to Sep 26, 2006 · Toms River, Nj
- M••••• S•••••• D• I••• unclassifiedJun 19, 2002 to Feb 20, 2003 · Toms River, Nj
Moves
a registration end followed by a registration begin elsewhere
- A•••••• A••••••• S••••••• to A•••••• P••••••• P•••••••• I•••left Sep 5, 2025, registered Jan 29, 2025 (-219 days) · channel change inside one enterprise, not a move · moved with a team
- E•••••••• A•••••••• L•• to A•••••• A••••••• S•••••••left Sep 8, 2022, registered Sep 15, 2022 (7 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left Jul 13, 2010, registered Sep 14, 2010 (63 days) · Affiliated broker-dealer or bank to another
- T• W••••• M••••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 26, 2006, registered Oct 18, 2006 (22 days) · Other
- M••••• S•••••• D• I••• to T• W••••• M••••••••• S••••••• I•••left Feb 20, 2003, registered Mar 4, 2003 (12 days) · Other
Signals
- ••• LockedSep 8, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address