DFX Intelligence
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Registered advisor
R•••••• L••• M•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as R•••••• M•••••
At current firm
2 y
since Jan 8, 2024
In the industry
39 y
since Jan 1, 1987 (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, 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
- L•• F•••••••• L•• BD affiliated currentsince Jan 8, 2024 · San Diego, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 24, 2005 to Jan 9, 2024 · Greensburg, Pa
- C••••• A•••• M••••••••• L•• unclassifiedJan 7, 2004 to Oct 24, 2005 · Pompton Lakes, Nj
- E•••••••• A•••••••• L•• national BDAug 22, 2002 to Jan 12, 2004 · Greensburg, Pa
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Jan 9, 2024, registered Jan 8, 2024 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• A•••• M••••••••• L•• to C••••• I••••••••• A••••••• L••left Oct 24, 2005, registered Oct 24, 2005 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to C••••• A•••• M••••••••• L••left Jan 12, 2004, registered Jan 7, 2004 (-5 days) · Other
Signals
- ••• LockedJan 9, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address