DFX Intelligence
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Registered advisor
M••• N••••• L••••••••
Feed of 09/15/2026
Also filed as M••• N• L••••••••
At current firm
15 y
since Dec 1, 2010
In the industry
29 y
since Mar 21, 1997 (earliest exam, job or registration)
Prior registered firms
1
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- O••••••••• • C•• I••• BD affiliated currentsince Dec 1, 2010 · Florham Park, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 15, 2004 to Dec 4, 2010 · Short Hills, Nj
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• • C•• I•••left Dec 4, 2010, registered Dec 1, 2010 (-3 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
- 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